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Compliance Analyst

3 months ago

Chicago, Illinois, United States MAVEN Full time

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:
  • At least 1-3 years of trading Compliance experience dealing with regulators/trading venues, preferably within a registered Broker Dealer
  • A Bachelor's degree
  • 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
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