Senior Compliance Officer

Hudson River Trading (HRT) is seeking a talented Senior Compliance Officer to join our Americas Compliance team in New York City. Reporting directly to the Americas Chief Compliance Officer, you will be responsible for providing primary compliance support for all aspects of HRT’s U.S.-listed options and futures businesses. 

The ideal candidate will have deep expertise in U.S.-listed options and futures trading regulations and market structure, as well as the technical complexities of algorithmic and high-touch proprietary trading and market-making businesses.  

Responsibilities

• Serve as the primary point of contact and trusted advisor for our algo, trading, business development, and technology teams regarding all U.S.-listed options and futures-related compliance matters
• Provide clear, timely, and practical guidance regarding the application of regulatory requirements (e.g., market making, trading, regulatory reporting, net capital) to the firm’s businesses engaged in market making and proprietary trading of U.S.-listed options and futures
• Review and approve new business initiatives, products, and markets to ensure full compliance before launch
• Assist in the design and review of surveillance reports
• Develop, maintain, and update Written Supervisory Procedures (WSPs) and internal compliance policies, ensuring they accurately reflect regulatory requirements and business practices
• Develop and conduct relevant and appropriate compliance trainings
• Assist in periodic compliance risk assessments and reviews
• Investigate and prepare comprehensive, accurate, and timely responses to regulatory inquiries and examinations
• Build and maintain credible working relationships with regulators

Qualifications

• Bachelor’s degree in Finance or a related field; J.D. or relevant advanced degree a plus
• 8+ years of progressive compliance experience at a major U.S. options market making firm
• Extensive knowledge of U.S. options and futures market structure, and deep understanding of the regulatory requirements governing U.S. options market making and options and futures proprietary trading
• Strong knowledge in regulatory reporting requirements, including Consolidated Audit Trail (CAT) and Futures Audit Trail
• Strong familiarity with algorithmic and high-touch trading systems
• Credible relationships with U.S. options regulatory staff
• Exceptional cross-functional verbal and written communication skills, with the ability to convey complex regulatory concepts clearly and concisely to traders, developers, and senior management
• Excellent organizational skills, with the ability to manage multiple complex initiatives simultaneously
• Proficiency in data analysis and reporting tools (e.g., SQL, Python, or advanced Excel) a strong plus

The estimated base salary range for this position is 200,000 to 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.