Compliance Officer

TradeZero America (“TZA”), is a broker dealer focused on the retail active trader and institutional options trading. TZA is seeking a Compliance Officer to assist its current team located in Brooklyn NY. The role requires prior experience as a Compliance Officer and experience should include knowledge in: CAT reporting/ Regulatory reporting 15c3-5 market access rules Advertising/marketing compliance FINRA personnel registration Familiarity with US equities and options products Familiarity with active retail trading including PDT rules. Significant interaction with US regulators and regulatory investigations/cycle exams. Familiar with Institutional options rules on NYSE Amex Options Floor or a law degree a plus. Series 24 and other relevant FINRA licensing required. About the Company “Built by Active Traders, For Active Traders” , TradeZero was founded in 2015 by a team that leveraged decades of collective operating and trading experience to build a next-generation trading platform tailored to the needs of the ever-growing community of sophisticated traders. With broker dealers in the Bahamas, US and Canada, we offer retail traders low-to-no-cost stock trading and direct market access to U.S. equities and equity options via online trading platforms. TradeZero’s innovative features and capabilities for stock shorting accommodate all types of retail traders, especially the active trader. Our customers choose us for our suite of advanced desktop, web-based and mobile trading platforms, professional-grade market access, sophisticated trading tools and our 24x7 live customer service.

Location: Brooklyn, NY, US

Posted Date: 1/22/2025