Head of Central Compliance, Americas

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.

Responsibilities

Core Compliance

• 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

Risk and Governance

• 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

Regulatory Engagement and Reporting

• 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

Qualifications

• 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

The estimated base salary range for this position is $200,000- $300,000 USD per year (or local equivalent). The base pay offered may vary depending on multiple individualized factors, including location, job-related knowledge, skills, and experience. This role will also be eligible for discretionary performance-based bonuses and a competitive benefits package.