Head of Central Compliance, Americas

Hudson River Trading•New York City, NY

3d•$200,000 - $300,000

About The Position

Hudson River Trading (HRT) is seeking a Head of Central Compliance to join our Americas Compliance team in New York City. Reporting directly to HRT’s Americas Chief Compliance Officer, you will lead the team responsible for the foundational and operational aspects of the firm’s Compliance program across the Americas. The ideal candidate will have broad and deep knowledge of general U.S. broker-dealer regulations and a strong commitment to leveraging technology for scalable solutions. Experience with Consolidated Audit Trail (CAT) is a significant plus.

Requirements

Bachelor’s degree in Finance or a related field; J.D. or relevant advanced degree a plus
10+ years of progressive compliance experience at a U.S. broker-dealer, with significant focus in the foregoing areas
Proven management experience, including a strong commitment to team leadership and talent development
Strong focus on utilizing technology to build efficient and scalable compliance solutions
Ability to collaborate effectively with technologists and operations staff in a fast-paced environment
Excellent verbal and written communication skills, with meticulous attention to detail
Strong organizational skills and the ability to manage multiple complex initiatives simultaneously

Responsibilities

Manage HRT’s anti-money laundering program (including policies, procedures, third-party KYC/onboarding screening, and annual independent reviews) and Sanctions compliance
Oversee the design and implementation of HRT’s personal account dealing platform and processes
Develop and implement regulatory registrations processes and track associated continuing education deadlines
Design and enforce information barrier controls
Document and maintain compliance with books and records requirements
Coordinate and execute HRT’s Compliance training program
Design and implement HRT’s Compliance policy governance framework and platform, including periodic reviews and updates
Lead the firm’s periodic Compliance risk assessments and identify associated testing priorities
Oversee periodic testing of HRT’s written supervisory procedures and Compliance policies
Manage required annual compliance reviews and certifications, including pursuant to FINRA Rules 3110, 3120, 3130, and SEC Rule 15c3-5
Track and socialize key regulatory developments and scan the horizon for regulatory changes
Manage regulatory exams, including coordinating requests, tracking internal submissions, and formulating responses
Establish and maintain the regulatory inquiries process, including triaging, assignment, deadline tracking, and database maintenance
Oversee compliance with routine regulatory reporting obligations, including Electronic Blue Sheets, Schedules 13F and 13H, Form 17-H, Form SHO, SLATE, and CAIS
Draft and submit event-driven regulatory reports and notices such as net capital withdrawal notifications, Rule 4530, Section 16 filings, and Schedules 13G and 13D
Complete compliance aspects of counterparty due diligence questionnaires