Director of Compliance

2 weeks ago


Chicago, United States Larson Maddox Full time

Our client, one of the top global investment banks & trading firms is looking for a Director of Compliance to advise the electronic trading function. A successful candidate in this position will bring 7-10 years of relevant compliance experience at a broker dealer.


Key Responsibilities:

  • Be the main contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information
  • Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability
  • Oversee/lead a team of specialists providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk


Qualifications:

  • 7-10 years of relevant compliance experience
  • Broker Dealer Experience
  • Bachelors degree
  • Fixed income background highly preferred
  • Experience at a large bank preferred


If you meet these criteria and are interested in learning more, apply now



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