Senior Compliance Officer - Chicago, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Chicago, United States

    1 month ago

    Default job background
    Accounting / Finance
    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:

    • 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.

    Qualifications:

    • 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.