Chief Compliance Officer, Prop Trading Firm
A growing proprietary trading and broker‑dealer group with a strong presence in electronic market making is seeking a Chief Compliance Officer for its Chicago office. The firm operates across multiple asset classes and relies heavily on advanced quantitative strategies and electronic trading systems. This role oversees the compliance program for a fast‑paced, technology‑driven environment and will play a central part in shaping surveillance, reporting, and regulatory infrastructure.
The CCO will work closely with engineering, trading, quantitative research, and operations to ensure the firm maintains robust controls that keep pace with evolving strategies and regulatory expectations. This position is ideal for someone who understands electronic trading, enjoys building compliance technology, and is comfortable working hands‑on with data, routing logic, and automated monitoring tools.
Responsibilities
* Oversee regulatory reporting across SEC, FINRA, CFTC, and exchange obligations
* Lead the design and enhancement of in‑house trade surveillance and monitoring systems
* Partner with engineering to develop real‑time alerts, automated controls, and investigation workflows
* Collaborate with trading and quant teams to align surveillance with new strategies and products
* Continuously assess surveillance effectiveness using data‑driven methods and automation
Qualifications
* 5+ years in a compliance or regulatory role within a market maker, prop trading firm, bank, or broker‑dealer
* Degree in Finance, Accounting, Business, Law, or related field
* Series 24 or willingness to obtain it quickly
* Strong knowledge of SEC/FINRA rules (e.g., 15c3‑5, trading activity, reporting)
* Experience with electronic trading, order flow, and market structure
* Hands‑on exposure to automated surveillance systems
* Ability to work with large datasets; SQL/Python a plus
* Experience translating regulatory needs into technical specifications for engineering teams
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