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    Compliance Analyst - Chicago, United States - MAVEN

    MAVEN
    MAVEN Chicago, United States

    2 days ago

    Default job background
    Description
    Maven is a proprietary trading organization founded in 2011.

    We employ some of the most talented traders, developers, and engineers in the market, executing a diverse range of strategies across global equities and derivatives.

    Maven has a culture that is relaxed and informal and highly rewarding of strong performance. We have offices in London, Amsterdam, Hong Kong, Monaco, New York, and Chicago.

    As part of the Compliance team, you will be focused on ensuring Maven understands and implements its regulatory obligations, including the US Broker Dealer in Chicago and the multi-strategy business in New York.

    You'll need to adapt to a highly collaborative environment, offering high quality, efficient advice to the many trading and support teams we interact with.

    As Maven expands its trading profile both geographically and through asset and exchange diversification, the complexity of the regulatory framework and consequently the advice required by the business increases.

    The aim of the Compliance team is to always provide market leading advice to the business.

    WHAT YOU'RE GOING TO DO:
    Work with the US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework
    Review the Compliance Monitoring Plan and the controls in place to assess their effectiveness, report on findings and provide recommendations where appropriate
    Review impending or proposed legislation to assess impact on the firm and work with the team to implement changes where required
    Assist with responses to inquiries from regulators and trading venues
    Review alerts generated by the monitoring systems and advise on any changes to reports as required.
    Prepare and submit any regulatory filings for the US businesses as required

    Provide advice to the business on any regulatory matters as required and in particular as part of the global Compliance team.


    WHAT WE ARE LOOKING FOR:
    1-3 years of trading Compliance experience dealing with regulators/trading venues, preferably within a registered Broker Dealer
    Knowledge of US regulation and its application to Broker Dealers (e.g. SEC Rules, Reg M, etc.)
    Understanding of market making, derivatives, and equity security trading cycles and market structure in general will be a plus
    Have an understanding of risk controls, monitoring, and how they are applied as part of the compliance program
    Experience in the creation, development, and implementation of compliance policies and procedures for new initiatives
    Someone who has experience with interpreting and summarizing legislative texts
    Must be an articulate communicator, able to communicate effectively to all levels of the organization
    Ability to work independently, with judgement to escalate issues when required
    Good organizational skills with the ability to manage multiple projects with competing deadlines

    WHAT WE OFFER:
    A great environment whereby technology is key to our success
    The upside of a start-up without the associated risks
    Friendly, informal and highly rewarding culture
    Fast-growing global firm with plenty of opportunity where you will have significant impact
    Eligible for company benefits e.g., medical, dental and vision insurance, 401k with match, and more
    Do you have the right to work in United States?


    If you require any support or adjustments during the recruitment process for any reason including those related to a disability, please indicate yes here and we will be in contact.

    If you click Yes or No to this question you are opting in and consent to the collection of this information for the purposes of enabling Maven to facilitate any required support or adjustments.


    • Maven is committed to creating a diverse and inclusive culture for our employees.
    It is crucial for us to understand the demographics of our candidate pool to measure our recruitment practices. There is no requirement for any candidate to answer our demographic questions. Refusal to answer any or all questions will not subject the candidate to any adverse treatment. For candidates who complete the questionnaire, their data will be anonymised and used only in the aggregate to inform our strategy. The answers to the questionnaire will be kept confidential, separate from the application, and will not be placed in the candidate's personnel file, if hired. The answers

    will not be provided to the supervisors in the employing office if the candidate is hired

    .

    Maven is an equal opportunity employer.
    Which gender do you identify with? (Select one)
    Man
    Woman
    Non-Binary
    Prefer not to say
    Prefer to self describe as

    What is your sexual orientation (Select one)
    Bi
    Gay/ Lesbian
    Heterosexual/Straight
    Other
    Prefer not to say
    Prefer to self describe as

    What is your ethnic group? (Select one)
    Asian
    Black
    Hispanic, Latino or Spanish Origin
    Mixed Multiple Ethnic groups
    White
    Other Ethnic Group
    Prefer not to say

    What type of school did you mainly attend between the ages of 11 and 16? (Select one)
    State run or funded school (selective on academic, faith or other grounds)
    State run or funded school (non-selective)
    Independent/ fee-paying school (financial aid)
    Independent/ fee-paying school (no financial aid)
    Other
    Don't know
    Prefer not to say

    If you went to university (college in the USA) or home country equivalent, were you the first of your family to do so? (Select one)
    Yes
    No
    Did not go to university
    Prefer not to say

    #J-18808-Ljbffr
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