Compliance Surveillance Analyst

The Virtu Legal and Compliance team is seeking an experienced Compliance Officer to join their team. This role will involve shaping Virtu's Compliance function through innovation and analytical thinking, with a focus on improving existing processes. The Compliance Officer will work across various Compliance areas, managing multiple deadlines and interacting with internal and external stakeholders. Responsibilities include performing surveillance and supervisory reviews, coordinating with the inquiry team, and driving compliance innovation initiatives. The ideal candidate will have a strong working knowledge of broker-dealer regulation and relevant experience in the financial services industry.

• Develop and perform surveillance and supervisory reviews across multiple subject matters.
• Coordinate and work with our inquiry team on related inquiries.
• Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.

• Bachelor's Degree or Commensurate Experience preferred however will consider other relevant experience.
• 2-6 years of experience with a financial services firm, Fin-Tech, regulator or commensurate experience.
• Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.
• Familiarity with equities, options, fixed income, currencies, and other financial instruments.
• Ability to perform surveillance and supervisory reviews across multiple subject matters.
• Experience in coordinating and working with inquiry teams on related inquiries.
• Ability to drive compliance innovation initiatives with a focus on automation, efficiency, and trend analysis.
• Strong analytical thinking and problem-solving skills.
• Ability to work independently and within a team.
• Excellent communication and interpersonal skills.

• Competitive salary range of $100,000 - $175,000
• Opportunity to work with cutting-edge technology in the financial industry
• Global exposure with the ability to work in 36 countries worldwide
• Chance to shape and innovate Virtu's Compliance function
• Ability to work across multiple Compliance areas
• Opportunity to work with internal and external stakeholders
• Development and performance of surveillance and supervisory reviews
• Collaboration with the inquiry team on related inquiries
• Focus on compliance innovation initiatives for greater automation and increased efficiency
• Strong working knowledge of broker-dealer regulation and securities and commodities laws
• Familiarity with various financial instruments including equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, and cryptocurrencies
• Strong communication and interpersonal skills
• Fast-paced and relatively flat organizational structure
• Familiarity with SQL, python, or similar query and scripting languages
• Familiarity with common industry surveillance and e-communications platforms
• Trading and back office experience is a plus
• Equal opportunity employer committed to diversity and inclusion