SpeedRoute LLC, Inc. (SPDR) is a regulated U.S. broker dealer that assists more than 100 U.S. broker dealers in the routing of their customer orders to various U.S. securities trading venues. To that end, SPDR connects to more than 40 discrete markets, utilizing sophisticated routing technology, and providing its broker-dealer clients customized routing solutions.
The CCO-PT will oversee the compliance program of the principal trading activities to be conducted by SPDR. The CCO-PT will ensure the firm adheres to all applicable regulatory requirements, mitigate compliance risks, and promote a culture of integrity and accountability. This role requires extensive knowledge of SEC and FINRA regulations, as well as hands-on experience managing compliance in a trading environment.
The CCO-PT reports to the President of SPDR and works closely with the entire SPDR team of technology developers, trading operators, and the two current members of the SPDR compliance team. This hybrid position is based in our Jersey City office (within a block of the Exchange Place PATH Station) and in-office attendance of 3 days per week is required.
Key Responsibilities:
Regulatory Compliance Program Development:
Regulatory Liaison:
Supervisory Oversight:
Risk Assessment and Monitoring:
Training and Education:
Leadership and Strategy:
Qualifications:
Experience:
Licenses:
Knowledge and Skills:
Education:
Compensation and Benefits:
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