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Chief Compliance Officer
Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US Options Exchanges, and multiple market makers and is currently clearing through a number of clearing firms as an introducing broker dealer. The firm is also a member of the NFA and is in the process of building out a retail offering for futures. In addition, the firm is in the process of applying for self-clearing for its retail business. While the position is primarily focusing on the registered broker-dealer the individual will be expected to assist with other related projects for the firm.
Lime has been in existence since for over 20 years, and since 2010 has been focused on providing electronic trading services to institutional and retail investors, in U.S. equities and options.
This person will be instrumental in helping keep the firm’s broker-dealer, and related regulated entities, at the peak of compliance and providing guidance and attention to the companies launching and conducting their current business model, as well as supervising a staff of Compliance professionals. They will also be expected to help build, maintain and monitor the firm’s internal and external policies to ensure compliance is at the heart of all activities. This position offers a unique chance to get exposure to securities law, anti-money laundering law, and fintech, while learning business, compliance and legal skills invaluable to any high-growth company.
What you'll be expected to do:
The candidate should have:
Company information:
About Lime Trading Corp
Established in 2000, Lime’s founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy — so they created one.
Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms. As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.
Full Time
$228k-313k (estimate)
05/18/2024
07/03/2024
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