Compliance Role

- Understanding of HFT market dynamics, trading strategies, and related regulatory requirements (e.g., market manipulation rules, order entry protocols).

- Strong analytical skills to identify complex trading patterns and potential compliance concerns within large datasets.

- Proven experience in compliance monitoring, risk assessment, and audit functions.

- Excellent communication and collaboration skills to work effectively with trading teams and cross-functional stakeholders.

- Legal or financial background with a strong understanding of market regulations and compliance frameworks.

- Regulatory Monitoring: Actively monitor market activity and trading systems for potential compliance breaches related to order types, execution speeds, and market manipulation strategies.

- Stay updated on evolving market regulations and industry best practices to identify emerging compliance risks.

- Analyze trading data and identify anomalous trading patterns that may indicate potential compliance concerns.

Compliance Policy Development & Implementation:

- Develop and maintain comprehensive compliance policies and procedures specifically tailored to HFT trading strategies.

- Collaborate with trading teams to ensure compliance policies are clearly understood and effectively implemented across all trading desks.

- Conduct regular training sessions for traders and other relevant staff on compliance requirements and best practices.

Risk Assessment & Mitigation:

- Monitor and report on key compliance risk indicators (KRIs) to senior management.

Audit & Investigation:

- Conduct regular internal compliance audits to verify adherence to established policies and procedures.

- Investigate suspected compliance violations and take appropriate corrective actions, including reporting to relevant regulatory bodies when necessary.

Stakeholder Management:

- Collaborate closely with trading teams, technology, legal, and risk management departments to ensure alignment with compliance objectives.

- Provide timely updates and reports to senior management regarding compliance status and potential issues.