Compliance Officer

3 weeks ago

Chicago, United States Gelber Group Full time

We are Gelber GroupPassion for Trading. Powered by Technology.

Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to technology. We believe in a culture of entrepreneurship, innovation, and collaboration and we empower each member of our team to have a meaningful impact from the very start of their career with Gelber. We invest in our future through our technology and talented staff, strategically committing resources to move our firm forward and help our people succeed. We trade a little bit of everything here and are always looking to expand into new opportunities. Our flat organizational structure and focus on a true meritocracy, attracts individuals with an edge which contributes to our consistent success.

As a Compliance Officer at Gelber, you will have a real opportunity to have a long-term career in Operations at a successful trading firm. You will work side by side with our Chief Compliance Officer and interact with many individuals across the firm. This role is for someone who flourishes in a fast-paced environment, has a strong work ethic, clear communication, and has a strong interest in growing their experience in the regulatory space. This position will report directly into the Chief Compliance Officer and will be part of a small team where you can have a lot of impact and exposure to other senior management.

What you'll do:

  • Monitor and conduct trade surveillance in all asset classes for potential trade practice violations, escalating issues appropriately, and communicating with appropriate personnel possible consequences and mitigation options
  • Assist the Chief Compliance Officer in responding to government and SRO inquiries as they arise
  • Work closely trading groups, senior management, and middle/back office
  • Assist with employee compliance onboarding and offboarding procedures
  • Answer regulatory questions, interpret regulations, and provide guidance in various scenarios
  • Monitor on-going developments across the regulatory landscape and evaluate the potential Firm impact of these developments
What you'll need:
  • Bachelor's Degree is required, Law Degree is a plus
  • 3-5 years of experience in the Financial Services Industry
  • Relevant FINRA certifications including SIE, 7 & 24 strongly preferred, with a willingness to achieve any missing certifications during first year of employment
  • Financial Industry business knowledge is required
  • Strong critical thinking skills, high attention to detail, and a strong sense of urgency. A desire to enhance problem-solving through data-driven tools (e.g. SQL, Python) is a plus
  • Willingness to cross train in all areas of compliance and establish strong working relationships with exchanges, regulators, and vendors
Benefits Highlights

Gelber offers a wide range of benefits to full-time employees in order to meet you and your covered dependents needs. Our comprehensive benefits offering includes:
  • Traditional and Roth 401(k) retirement program
  • Comprehensive health benefits including medical coverage provided by Blue Cross and Blue Shield (PPO and HDHP/HSA) and dental coverage; generous employer cost-sharing
  • Tuition reimbursement (undergraduate or graduate courses taken after employment begins)
  • Flexible Spending Accounts for health care and dependent care; pre-tax commuter benefits for parking and transit expenses
  • Life insurance and long-term disability coverage
  • Health club membership with on-site facilities (and reciprocal memberships)
  • Generous vacation time (15-day accrual in first full calendar year of employment; prorated accrual in initial year), paid holidays, and paid maternity/paternity leave
  • Catered lunches 3x/week and monthly continental breakfasts
  • Social events including sponsored 5k races and annual holiday party
  • Enjoyable work environment with office space that includes a golf simulator and pool table
  • Employee referral bonus program
  • Charitable giving and company matching opportunities
  • Casual, relaxed dress code


If you are based in California, we encourage you to read the Gelber Privacy Notice for California Employees and Applicants, linked here.

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