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    Compliance Officer - Chicago, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Chicago, United States

    2 weeks ago

    Default job background
    Description

    Responsibilities:

    • Manage FINRA CRD, including the Firms BD licenses, individual U-4 registrations, and exchange memberships.
    • Perform routine and daily surveillance reviews involving the Firms trading activity and regulatory requirements.
    • Assist with the management and maintenance of the Firms market data reporting.
    • Collaborate with exchanges and vendors on operational setups and maintenance.
    • Work with Trading and Technology teams to ensure the Firms compliance report suite is current and accurate.
    • Assist with the preparation and execution of the Firms regulatory inquiries and exams.
    • Collaborate closely with the Firms Operations team to streamline and improve current processes.
    • Assist with the maintenance and expansion of the Firms 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.
    • Bachelors degree.
    • Series 3, 7, or 24 is preferred.
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