Deputy Chief Compliance Officer

3 weeks ago

Chicago, United States Larson Maddox Full time

Our client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global compliance program. Your responsibilities will encompass surveillance, policy development, enforcement, and the provision of compliance guidance to internal trading teams. You will collaborate closely with the various Global Heads of compliance.


What You'll Be Doing:

  • Supervising various aspects of the compliance program, including managing a team of junior to senior-level compliance officers.
  • Contributing to the formulation and execution of compliance projects and strategic initiatives.
  • Addressing daily compliance queries related to trades, trading strategies, technology application in trading, pricing, valuation, and reporting.
  • Assessing the effectiveness of departmental policies and procedures, recommending and implementing improvements as necessary.
  • Engaging with regulatory agencies and Self-Regulatory Organizations (SROs) on a regular basis.
  • Monitoring the regulatory landscape for proposed rules, guidance, and industry developments impacting the Firm's compliance and business models.
  • Demonstrating proficiency in identifying business risks, analyzing pertinent information, and evaluating potential consequences.
  • Enforcing compliance policies, overseeing trade surveillance and e-communication programs, and continuously assessing the effectiveness of relevant policies and procedures to introduce enhancements as needed.


Requirements for the Role:

  • Minimum 10 years of regulatory compliance experience.
  • Solid understanding of financial markets, including surveillance and controls within a dynamic, multi-product trading environment.
  • Prior experience at a regulatory agency or SRO is essential.
  • Effective communication skills across all levels of the organization.
  • Strong business acumen, analytical prowess, and problem-solving abilities to identify trends, root issues, and propose solutions aligned with the company's objectives.

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