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Lead Regulatory Compliance Analyst

2 months ago


Hammond, Indiana, United States PEAK6 Investments Full time

Company Overview
PEAK6 Investments is at the forefront of innovation in the financial services sector, dedicated to enhancing the digital investment landscape through cutting-edge technology and operational excellence.

We pride ourselves on our collaborative environment, empowering our team members to drive significant change and deliver exceptional value to our clients.

Position Summary
The Lead Regulatory Compliance Analyst will play a crucial role within the finance division, overseeing regulatory compliance functions critical to our operations.

This position requires interaction with various internal teams, including Finance, Operations, Compliance, and Technology. The ideal candidate will be a proactive problem solver with strong analytical skills and meticulous attention to detail.

Key Responsibilities
- Actively participate in the calculation of weekly reserve computations, ensuring accuracy and compliance with regulatory standards.
- Prepare monthly financial reports, including capital charge calculations and net capital assessments.
- Support the monthly financial close process, focusing on compliance-related items and account reconciliations.
- Ensure adherence to regulatory requirements for futures business segregation and participate in annual audits and examinations.
- Prepare quarterly regulatory filings and manage SIPC assessment calculations.
- Drive continuous improvement initiatives, seeking innovative solutions to enhance operational efficiency and reporting standards.

Qualifications
- Bachelor's degree in finance, accounting, or a related field, or equivalent experience.
- A minimum of 4 years of experience in regulatory compliance or financial operations within a broker-dealer environment.
- In-depth knowledge of SEC regulations, particularly rules 15c3-1 and 15c3-3.
- Strong communication skills, both verbal and written, with the ability to collaborate effectively across departments.
- Exceptional attention to detail and the ability to manage multiple deadlines in a fast-paced environment.
- Proficiency in Microsoft 365 and advanced Excel skills are preferred.

Our Commitment
At PEAK6 Investments, we are committed to fostering a diverse and inclusive workplace. We believe that a variety of perspectives enhances our ability to innovate and serve our clients effectively.

We offer a comprehensive benefits package, including healthcare, competitive PTO, and opportunities for professional development.

Join us in our mission to redefine the future of investment management.