Senior Compliance Officer

BHFT•New York, NY

2d•Remote

About The Position

BHFT is seeking a Senior Compliance Officer to oversee compliance functions across all regions and asset classes. This role involves providing real-time trading guidance, building compliance frameworks for algorithmic trading, and managing regulatory affairs. The Senior Compliance Officer will also lead and develop two Compliance Officers, acting as a key point of contact for compliance matters and representing the department in cross-functional discussions.

Requirements

Hands-on experience building compliance tools and systems, not just policy and procedure work.
Direct experience in a compliance role at a proprietary trading firm, market maker, electronic trading venue, or trading desk.
Experience across multiple asset classes: commodities, rates, equity futures, options on futures, and equities.
Working knowledge of algo trading controls and governance frameworks.
Familiarity with multi-venue regulatory obligations across at least two of: US (CFTC/NFA), EU (MiFID II), India (SEBI), UK (FCA).
Knowledge of core compliance policies (AML, recordkeeping, whistleblowing, conflicts of interest) and ability to write, implement, and maintain policies and procedures.
Ability to deliver timely, well-reasoned guidance while maintaining independence as a control function.
Strong written communication skills for policies, procedures, and regulatory correspondence.

Nice To Haves

Experience with equities compliance frameworks (Reg SHO, short selling regimes, locate obligations).
Experience with exchange membership obligations (ICE, CME, LME, NSE).
Familiarity with position-limit regimes across multiple venues.
Exposure to Chinese exchange connectivity (CTP).
Background in trade surveillance systems and alert handling.
Experience building compliance frameworks from scratch.
Experience automating AML/sanctions screening workflows.

Responsibilities

Serve as the primary owner for advisory compliance across all regions.
Provide real-time trading guidance across all asset classes and venues.
Build and maintain a pre-cleared rules framework for recurring desk queries.
Advise development, trading, and operations teams on building and maintaining compliant tools and processes.
Develop a comprehensive algo trading governance framework covering the full lifecycle (pre-deployment approvals, ongoing monitoring, change management, business continuity, information security, and annual review).
Manage new market and product approvals.
Oversee core compliance functions, including trade surveillance, regulatory and exchange affairs, policies and training, and AML/sanctions screening.
Supervise and develop two Compliance Officers.
Represent compliance in cross-functional discussions with risk, development, and front office.
Act as an escalation point for non-routine compliance matters.