Compliance Officer

4 weeks ago

Chicago IL United States Larson Maddox Full time

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply.

  • Assist with formal FINRA, CBOE, and ICE firm examinations
  • Research and prepare memos on relevant SRO and Federal Securities Laws
    • Conduct meetings with relevant Senior Executives for rule interpretations
    • Prepare research for potentially new products such as cryptocurrency
  • Update WSPs along with Firm Policies & Procedures
    • Create compliance training presentations for annual compliance meeting
    • Create and present junior traders with an introduction to financial markets compliance presentation
  • Assist with the setup of new foreign exchange trading
    • Speak with Singapore and Japanese regulators to finalize the admission to the Singapore and Osaka Exchanges
    • Conduct research on Singapore and Japanese Securities laws and cross reference with US securities laws to better prepare the Firm for its live launch
  • Interact with US & European exchanges and SROs for Firm examinations and various systems updates
    • Speak with CBOE, CME, ICE, etc. to discuss updates in Firm filings
    • Assist FINRA regulators in their examination by providing necessary documentation (KYC, Broker-Dealer registration, etc.)
    • Assist in the transition of new reporting FINRA protocols which needed to be coordinated with the different exchanges
  • Assist in Regulator inquiries of Firm's trading and prepare responses
    • Speak with regulators on potential rule violations from insider trading, looping, flickering, market making etc. to Firm registration violations
  • Speak with third party vendors to help analyze outside market surveillance platforms
  • Conduct Annual training presentations for the Firm as well as introductory presentations for Junior traders

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