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    Senior Compliance Officer - Chicago, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Chicago, United States

    4 weeks ago

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    Description

    A Chicago-based proprietary trading firm is seeking a Deputy Chief Compliance Officer. The ideal candidate will be a forward-thinking problem solver, adept at anticipating challenges, discerning trends and risks, and providing insightful guidance. Proficiency in the current legal and regulatory environment across U.S. and international jurisdictions is essential. This role entails leadership within the compliance team, offering regulatory training, education, and advisory services on financial services regulation. Reporting to the Chief Compliance Officer, you will oversee a broad range of duties supporting the Firms global compliance initiatives and trading operations.

    Responsibilities:

    • Lead various aspects of the Firms compliance processes, driving the ongoing evolution, implementation, and enforcement of regulatory protocols.
    • Develop frameworks and methodologies to ensure compliance with relevant laws and regulations across multiple jurisdictions while facilitating business objectives and trading strategies.
    • Engage with Firm leadership on understanding regulatory obligations and requirements for new and ongoing business ventures.
    • Proactively monitor and evaluate regulatory developments, rule proposals, and industry trends.
    • Collaborate with the CCO on the supervision and professional growth of compliance personnel.
    • Participate actively in resolving internal and external compliance matters and inquiries.
    • Interface with exchange, FINRA, and federal regulatory personnel; oversee the coordination of regulatory examinations and audits.
    • Draft and revise compliance policies and procedures.
    • Provide guidance on rule interpretation, ongoing education, and best practices through effective communication and training initiatives.

    Qualifications:

    • 10+ years of managerial-level compliance experience directly supporting a proprietary trading firm.
    • Series 14 or 24 license
    • Strong understanding of both open outcry and electronic trading platforms and workflows.
    • Local to Chicago.
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