We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply.
Responsibilities:
- Manage FINRA CRD, including the Firm's BD licenses, individual U-4 registrations, and exchange memberships.
- Perform routine and daily surveillance reviews involving the Firm's trading activity and regulatory requirements.
- Assist with the management and maintenance of the Firm's market data reporting.
- Collaborate with exchanges and vendors on operational setups and maintenance.
- Work with Trading and Technology teams to ensure the Firm's compliance report suite is current and accurate.
- Assist with the preparation and execution of the Firm's regulatory inquiries and exams.
- Collaborate closely with the Firm's Operations team to streamline and improve current processes.
- Assist with the maintenance and expansion of the Firm's Written Supervisory Procedures and related records and surveillance.
- Review existing compliance practices against regulatory requirements and industry best practices.
Required Skills:
- Ability to work and succeed independently as well as in a team environment.
- Outstanding organizational skills and strong attention to detail in a fast-paced environment.
- Exceptional written and verbal communication skills.
- Minimum of 5 years of relevant work experience with a trading firm, regulator, or an exchange.
- Advanced knowledge of SEC, FINRA, CFTC, SRO rules and regulations.
- Knowledge of AML/OFAC/KYC regulations.
- Working knowledge of VBA and/or SQL.
- Bachelor's degree.
- Series 3, 7, or 24 is preferred.
