- Monitor daily trading activity using the IMC's in-house surveillance systems and provide reporting guidance as we expand our portfolio of trading flows.
- Provide operational support for key external Compliance Data Reporting platforms (e.g., Consolidated Audit Trail, MIFID Transaction Reporting, Futures Audit Trail)
- Investigate regulatory reporting exceptions, identify their root causes, and drive the necessary corrective actions.
- Own Registered Rep registration process, including Forms U4 and U5, fingerprints, and address changes
- Assist with tasks related to employee trading, including new account setup, pre-clearance requests, exception review, and FINRA 3210 letters.
- Maintain detailed, accurate, and organized documentation of the execution of the firm's processes and procedures.
- Assist in investigating compliance issues and responding to requests for information, audits, and regulatory exams, including trade data review and analysis
- Find and resolve bottlenecks in processes by collaborating with traders, developers, and teammates.
- Align synergies with compliance teams in other regions where applicable.
- This role will require a FINRA Series License SIE and 57 within one year of employment.
- 1+ years of experience working for a proprietary trading firm, exchange, regulatory organization, broker-dealer, futures commission merchant, or similar organization
- A Bachelor's degree
- Understanding basic financial industry business knowledge and interest in the U.S. regulatory environment for trading firms
- Prior experience with SQL or a desire to learn is required
- Experience with FINRA data applications; OATS or CAT experience is a plus
- Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations is a plus
- Strong interpersonal, organizational, analytical, problem-solving, and time-management skills
- Ability to convey complex ideas or concepts clearly
- Strong attention to detail and willingness to learn
- Proactive and reliable, with the ability to work independently as well as with others in a small team
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Compliance Analyst - Chicago, United States - IMC Trading
Description
The Compliance Team is seeking a qualified individual to drive IMC's regulatory vision by promoting new regulatory developments and best practices, as well as adhering to compliance requirements.
Your Core Responsibilities:
Your Skills and Experience:
About Us
IMC is a leading trading firm, known worldwide for our advanced, low-latency technology and world-class execution capabilities. Over the past 30 years, we've been a stabilizing force in the financial markets - providing the essential liquidity our counterparties depend on. Across offices in the US, Europe, and Asia Pacific, our talented employees are united by our entrepreneurial spirit, exceptional culture, and commitment to giving back. It's a strong foundation that allows us to grow and add new capabilities, year after year. From entering dynamic new markets, to developing a state-of-the-art research environment and diversifying our trading strategies, we dare to imagine what could be and work together to make it happen.
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