Compliance Analyst

2 weeks ago

Chicago, United States Larson Maddox Full time

An international proprietary trading firm is building out their Chicago office Join their team in shaping the regulatory landscape Collaborate closely with the US Compliance Officer to establish and refine the Compliance framework for our US Broker Dealer entity within the broader global Compliance framework. Your responsibilities will include: Evaluating the effectiveness of our Compliance Monitoring Plan and existing controls, reporting findings, and offering recommendations for enhancements. Keeping abreast of upcoming legislation and assessing its implications for our firm, actively participating in implementing necessary changes. Assisting in responding to inquiries from regulators and trading venues, ensuring timely and accurate communication. Analyzing alerts generated by monitoring systems, advising on necessary adjustments to reports. Managing regulatory filings for our US businesses as required. Providing regulatory guidance to the business, leveraging your expertise as part of our global Compliance team. What we seek in candidates: 1-3 years of trading Compliance experience, preferably within a registered Broker Dealer. A Bachelor’s degree. Proficiency in US regulation relevant to Broker Dealers (e.g., SEC Rules, Reg M, etc.). Familiarity with market making, derivatives, and equity security trading cycles, with broader market structure knowledge being advantageous. Understanding of risk controls and monitoring as integral components of compliance programs. Experience in developing and implementing compliance policies and procedures for new initiatives. Ability to interpret and succinctly summarize legislative texts. Excellent communication skills across all organizational levels. Capacity to work independently, with discernment to escalate issues when necessary. Strong organizational skills, adept at managing multiple projects with varying deadlines. What we offer: An environment where technology drives our success. The excitement of a start-up environment without the typical associated risks. A friendly, informal culture that values and rewards contributions. Opportunities for growth within a rapidly expanding global firm, where your impact will be significant. Eligibility for company benefits, including medical, dental, and vision insurance, 401k with match, and more.

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