- Coordinate and prepare responses to formal investigations and regulatory inquiries from various exchanges and FINRA.
- Assist in coordinating and responding to regulatory examinations and audits.
- Draft and update compliance written supervisory procedures.
- Monitor and evaluate the firm's trade activity using an internal surveillance system, covering areas such as market maker obligations and market manipulation.
- Assist in developing and implementing internally designed exception reports.
- Conduct rule interpretation, continuing education, and dissemination of best business practices through training sessions and issuance of compliance memos.
- Prepare and submit various SEC, CFTC, FINRA, and SRO form filings.
- Communicate and liaise with external regulatory personnel, as well as internal teams including trading, technology, and operations.
- 5+ years of experience in a compliance role directly supporting a professional trading business.
- Ability to thrive in a team environment.
- Demonstrated integrity in professional conduct.
- Excellent verbal and written communication skills.
- Capacity to effectively manage and prioritize multiple ongoing projects in a fast-paced, high-performance trading environment.
- Ability to establish productive relationships with exchanges, regulators, and vendors.
- Aptitude for regularly evaluating the efficiency of control systems and suggesting effective improvements.
- Proactive approach to identifying regulatory risks for the Firm.
- Strong understanding of electronic trading, particularly focused on listed options and futures.
- Proficiency with SEC, FINRA, CFTC, and SRO rules and regulations.
- Series 14 or 24 certification.
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Senior Compliance Officer - Chicago, United States - Larson Maddox
Description
We're seeking an experienced Senior Compliance Officer with a solid grasp of listed options and futures trading. In this role, you'll undertake a range of responsibilities to bolster the Firm's U.S.-based compliance endeavors and trading activities. We're looking for a self-motivated individual who employs an analytical approach to support ongoing compliance requirements and initiatives within the team and the firm.
Responsibilities:
Qualifications: