Job Description

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.

Job Tags

Similar Jobs