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.
Top Skills
What We Do
Five Rings is a proprietary trading firm founded with a vision of combining strategy, innovation and technology to succeed in today’s global markets. Based in New York, we trade in various domestic and international markets, both established and esoteric. Five Rings does not depend on clients or outside investors. Our team constantly seeks new opportunities, analyzes their risks and rewards, and creates strategies and tools to capitalize on them. The strength of our firm comes from the talent of our people, and our compensation packages reflect this belief.
Five Rings offers a casual atmosphere, flat structure and great benefits. Education is a priority. Our experienced traders and software developers teach new employees extensively, both hands-on and in classroom settings. Our young firm is fast-paced and entrepreneurial, and progress can be rapid for those ready to meet the challenges that await them
