Experienced/Lateral - Compliance Director

About Five Rings

Five Rings is a proprietary trading firm founded with a vision of combining strategy, innovation and technology to succeed in today’s global markets. With offices in New York, Boca Raton, London and Amsterdam, Five Rings trades in various domestic and international markets, both established and esoteric. Our team constantly seeks new opportunities, analyzes their risks and rewards, and creates strategies and tools to capitalize on them.

We have an open culture and encourage the flow of knowledge and ideas between all areas of the firm.

About the Role

Five Rings is looking to add a senior compliance professional to our team, to be responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm’s authorised MiFID investment firm with its legal and regulatory obligations.  Tasks will primarily include managing exchange memberships, creating and administering policies and procedures, actively advising on compliance matters, training and inducting staff, managing regulatory reporting, examinations and communications, and monitoring regulatory developments and best practices.  The person will closely collaborate with the existing legal and compliance function, especially on tasks such as management and enhancement of the compliance and surveillance systems, external legal and compliance support, and firmwide policies and procedures.  Periodic travel to New York is expected.  

About You 

The candidate must have impeccable professional background and at least 7 years of relevant experience at or with MiFID investment firms dealing on own account.  The person must be a self-starter and have exceptional prioritization skills.  Ability to work independently, organization, superior attention to detail, and ability to multitask are required.  Prior work at a regulatory agency (e.g., AFM), experience with derivative markets, and a legal background are each a plus.  General computer literacy and comfort are required. English fluency is also required. Seeking those able to operate the compliance function from start to finish, advising senior management and supervising outside counsel and consultants, but also willing to roll up sleeves and do anything that comes up, whether it’s routine, complex, or even unrelated to primary function.

Competitive salary depending on experience. Excellent benefits package.

Applicants are able to apply to multiple positions, but we strongly encourage you to only apply to your top choice.