A reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of activities across the team to support the compliance program. Opportunities for advancement, a positive team culture, and collaboration with senior leadership will be core aspects of this position. The role will sit in downtown and be set in a hybrid structure.
Responsibilities:
- Conduct trade surveillance reviews and ensure compliance with regulatory requirements
- Oversee the FINRA CRD, BD licenses, U-4 and U-5 registrations, and exchange memberships
- Partner with trading and technology teams consistently to stay in collaboration on reporting system
- Maintain and develop new Written Supervisory Procedures
- Stay current as a subject matter expert on trading regulatory requirements and best practices
- Work to continuously improve operational efficiency of the firm's compliance processes
- Prepare and execute on regulatory examinations
Qualifications:
- 7+ years of experience with within a trading firm, exchange or regulatory agency
- FINRA 7 required, and 3 & 24 preferred
- Heavy trade surveillance of equities, options and securities
- Subject matter expertise on SEC, FINRA, CFTC and SRO rules and regulations
- Familiarity with SQL, VBA and any other advanced languages
Benefits:
- Promotional growth opportunities
- Full Medical, Vision, Dental and 401k
- Hybrid work structure
If you are interested in this opportunity, apply with the link above for immediate consideration!
