Compliance Officer

THE FIRM

XTX Markets is a leading algorithmic trading company partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity markets. We provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover, regardless of changing market conditions.

At XTX Markets technology is our business and we are a diverse organisation which attracts outstanding talent from across all industry backgrounds. We are focused on teamwork and our people collaborate on all aspects of the business, working openly and with respect for each other, our clients and the market. Our culture is non-hierarchical and one where everyone is valued. We strive for excellence in everything we do.

THE ROLE

XTX is seeking a Compliance team member based in New York to contribute to the global compliance processes of the firm with a focus towards US regulatory requirements as we continue to grow and expand our US based offering.

The Compliance Officer will be a key member of the team supporting the Head of U.S. Compliance, the CCO and contributing to the global department’s mission in a variety of wide-ranging functions. You will have the opportunity to work across projects involving all asset classes that we trade and collaborate with a range of stakeholders across the global business.

The candidate will work collaboratively to administer the XTX compliance program, understand, and monitor the Firm’s trading activities, diligently monitor the regulatory horizon, and help to evaluate, implement, and improve processes intended to meet regulatory requirements. 

RESPONSIBILITIES

  • Rulebook and product reviews
  • Regulatory reporting
  • Developing written policies and procedures, with review and testing of existing procedures
  • Working with the global surveillance function
  • Acting as a point of contact for the business on matters relating to conduct compliance, employee compliance training
  • Monitoring the regulatory horizons for requirements that will impact XTX.
  • Drafting and maintaining management information, internal briefings, processes, and procedures documentation
  • Collaboration with the XTX Legal Team and advising XTX’s businesses from a compliance/regulatory perspective

ESSENTIAL ATTRIBUTES

  • Approximately 4 to 6 years compliance experience
  • Experience with US equities trading compliance requirements and institutional brokerage.
  • Experience in electronic trading including an understanding of quantitative trading and the associated compliance control framework
  • Experience with regulatory reporting (CAT, 605), registrations (U4/5, Form BD), Written Supervisory Procedures (WSPs), internal inspections, books and records requirements - all considered valuable
  • Ability to perform reviews of rulebooks and regulations to identify requirements applicable to the Firm’s businesses
  • Ability to synthesise data, maintain detailed records and provide management reports
  • Excellent communication skills. Ability to explain regulatory requirements clearly and concisely in both written and verbal formats
  • Experience working with exchanges and regulators would be beneficial
  • Proprietary trading, quant firm, bank, brokerage, or large asset management compliance experience is preferable
  • Technical experience including basic developing is desired but not strictly required

Contact: careers@xtxmarkets.com