Senior Compliance Officer

About this role

Velocity Trading Group seeks a Senior Compliance Officer to lead regulatory oversight and ensure adherence to trading compliance frameworks. You will own the design and execution of compliance programs that protect the firm, its clients, and market integrity. In this role, you will work across trading, operations, and legal to identify risks, implement controls, and respond to regulatory inquiries. You'll report to leadership and serve as a trusted advisor on compliance strategy.

Responsibilities

• Develop and maintain compliance policies, procedures, and controls aligned with SEC, FINRA, and other applicable regulations
• Monitor trading activity and market conduct to detect violations or suspicious patterns
• Lead regulatory examinations, audits, and investigations; prepare documentation and responses
• Train staff on compliance obligations and regulatory requirements
• Stay current on regulatory changes and assess impact on business operations
• Escalate compliance issues to senior management and external regulators as required

Qualifications

• 7+ years in compliance, trading oversight, or financial regulatory roles
• Ability to communicate complex regulatory concepts to business teams
• Bachelor's degree in finance, law, business, or related field
• Experience with surveillance systems, compliance testing, or audit frameworks
• Proven judgment in escalating issues and managing regulatory relationships
• Strong knowledge of securities laws, trading regulations, and anti-money laundering (AML) requirements