Compliance Officer
About The Position
Da Vinci is a unique proprietary trading firm specializing in market making, volatility trading and arbitrage across major global exchanges. Leveraging cutting-edge, in-house developed strategies, we identify market opportunities while providing liquidity and enhancing market efficiency. As a Compliance Officer in our Miami office, you will work closely with Trading, Legal, Risk, Finance, and Technology teams to provide expert compliance support across the firm. Da Vinci offers a dynamic and entrepreneurial environment where employees are empowered to generate ideas and drive them through to execution. This is a rare opportunity to join a successful and fast-growing company at a pivotal stage of its development. We are seeking an experienced Compliance Officer who will play a critical role in ensuring the firm operates and grows in full compliance with U.S. exchange rules, regulations, and applicable laws. The role encompasses regulatory filings, responses to regulatory inquiries, trade surveillance and monitoring, and oversight of control functions in a fast-paced, time-sensitive environment. Given the complexity and continual evolution of the regulatory landscape, you will be responsible for reviewing and interpreting new regulations, educating colleagues on regulatory changes, and updating firm policies and procedures accordingly. Success in this role requires strong interpersonal skills and the ability to clearly communicate regulatory requirements to stakeholders across multiple departments in both our Miami and Amsterdam offices. Da Vinci offers a dynamic work environment, where employees are given the freedom to come up with great ideas and the space to push these to completion. This is a once-in-a-lifetime opportunity to be part of a successful and fast-growing company.
Requirements
- 3-7 years of relevant experience in a regulatory compliance role within a financial services firm or exchange
- Experience interpreting and maintaining compliance with FINRA, U.S. exchange, and SEC rules
- Proven ability to draft, review, and maintain internal policies and Written Supervisory Procedures
- Working knowledge of electronic trading across multiple asset classes, including equities and index options
- Strong analytical and research skills
- Demonstrated interest and experience in developing and optimizing compliance processes and frameworks
- Excellent verbal and written communication skills
- Ability to work independently as well as collaboratively across multiple departments
- Bachelor's degree
Responsibilities
- Provide compliance guidance and regulatory interpretations to business units
- Develop, perform, and review trade surveillance and compliance monitoring reports
- Draft, maintain, and enhance compliance policies and procedures
- Assist with regulatory examinations, audits, and responses to regulatory inquiries
- Identify, assess, and help mitigate compliance risks related to broker-dealer activities and operations
- Organize and deliver compliance training for broker-dealer employees
- Collaborate on cross-functional initiatives with Risk, Finance, Mid-Office, and IT Operations teams
Benefits
- Opportunity to work alongside industry leaders
- Base salary starting at $150,000 USD, commensurate with experience
- Attractive variable compensation based on individual and company performance
- Equity participation for outstanding performance
- Comprehensive relocation package, including temporary housing and moving cost coverage
- Initial training period in Amsterdam to integrate with the global team
- Comprehensive benefits package, including medical, dental, and vision coverage
- 25 days of paid vacation annually
- Meals provided during work hours
- Regular social events and after-work gatherings
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
