Compliance Officer, Finance & Banking

Rutherford is partnered with a technology-driven trading and investment firm operating across multiple asset classes on leading exchanges worldwide. The firm are seeking a trading compliance specialist that will act as a key advisor to the business and manage exchange relationships.

• Monitor and interpret US exchange rules, SEC/CFTC guidance, and exchange circulars to keep the firm’s activities compliant and well-aligned with evolving expectations.
• Design, maintain, and enhance trade‑surveillance controls to detect unusual patterns and elevate potential issues promptly.
• Partner with operations, trading, and technology teams to ensure exchange reporting and membership obligations are consistently met.
• Support expansion of exchange memberships in line with strategic growth plans (for example, Chicago‑based initiatives), providing compliance input during onboarding and ongoing membership reviews.
• Serve as an internal subject‑matter expert on US exchange regulations—offering timely, practical compliance advice to front‑office and support functions.
• Liaise with regulators, exchanges, and external counsel as needed to respond to inquiries or prepare filings.

• Proven experience in a compliance/surveillance within a trading, brokerage, or exchange environment.
• Strong grasp of US exchange rulebooks, membership obligations, reporting standards, and surveillance practices.
• Comfort translating regulations into clear operational guidance for non‑compliance colleagues.
• Excellent stakeholder‑management skills—able to collaborate with cross‑functional teams and influence decision‑makers.
• Detail‑oriented, proactive, and adaptable in a fast‑moving trading environment.