Compliance Officer

Compliance Officer Miami, Florida, United States Apply About the Role
Da Vinci is a unique proprietary trading firm specializing in market making, volatility trading and arbitrage across major global exchanges. Leveraging cutting-edge, in-house developed strategies, we identify market opportunities while providing liquidity and enhancing market efficiency.
As a Compliance Officer in our Miami office, you will play a key role in supporting the firm’s U.S. proprietary broker-dealer and trading operations. You will work closely with Trading, Legal, Risk, Finance, and Technology teams to ensure the firm operates in full compliance with FINRA, SEC, and U.S. exchange rules in a fast-paced, high-frequency trading environment.
Da Vinci offers a dynamic work environment, where employees are given the freedom to come up with great ideas and the space to push these to completion. This is a once-in-a-lifetime opportunity to be part of a successful and fast-growing company.
Responsibilities
- Provide day-to-day compliance guidance and regulatory interpretations to trading and business teams
- Develop, perform, analyze, and review trade surveillance and compliance monitoring reports for electronic trading activity, identifying trends, anomalies, and potential risks, and providing data-driven insights and recommended actions
- Draft, maintain, and enhance compliance policies, procedures, and Written Supervisory Procedures (WSPs)
- Assist with regulatory examinations, audits, and responses to FINRA, SEC, and U.S. exchange inquiries
- Identify, assess, and help mitigate compliance risks related to proprietary broker-dealer activities and operations
- Monitor regulatory developments and translate new rules into practical guidance for internal stakeholders
- Design and deliver compliance training for broker-dealer employees
- Collaborate with Risk, Finance, Mid-Office, and Technology teams on cross-functional initiatives and control enhancements
Requirements
- 3–7 years of experience in a compliance role within a financial services firm, proprietary trading firm, or exchange
- Strong working knowledge of FINRA, SEC, and U.S. exchange rules (e.g., Nasdaq, NYSE, Cboe)
- Proven experience drafting, reviewing, and maintaining internal policies and WSPs
- Working knowledge of electronic trading and market structure, including equities and index options
- Experience with trade surveillance, alerts, and regulatory inquiries related to market conduct
- Strong analytical, research, and problem-solving skills
- Excellent verbal and written communication skills, with the ability to explain complex regulatory topics clearly
- Ability to work independently while collaborating across multiple departments and geographies
- FINRA licenses (Series 14, Series 24 and Series 7) preferred but not required
- Bachelor’s degree required
Benefits
- Opportunity to work alongside experienced professionals in electronic trading and market making
- Base salary starting at $150,000 USD, commensurate with experience
- Attractive variable compensation based on individual and company performance
- Equity participation for outstanding performance
- Comprehensive relocation package, including temporary housing and moving cost coverage
- Possibility to visit Amsterdam to collaborate with global colleagues
- Comprehensive benefits package, including medical, dental, and vision coverage
- 25 days of paid vacation annually
- Meals provided during work hours
- Regular social events and after-work gatherings