Compliance Officer – Trade Surveillance
$150,000–$200,000 year
HybridChicago, Illinois, United States
Job Summary
Develop and refine proprietary surveillance rules for market maker quote compliance and market abuse. Define business requirements for surveillance system enhancements and investigate alerts, escalating findings to leadership. Supervise staff completing first-level reviews and draft written supervisory procedures. Review proposed regulatory rules and assist in preparing responses to formal investigations from U.S. and European regulators. Liaise with trading, technology, and operations teams to ensure effective control systems. Manage multiple ongoing projects within a fast-paced trading environment while maintaining high integrity and proactive risk identification.
Required Qualifications
- Bachelor's degree
- At least 8 years of experience in a compliance function that directly supports a professional trading business
- At least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services
- Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment
- Ability to regularly assess the efficiency of control systems and recommend effective improvements
- Demonstrate a high level of integrity
- Proactive approach to help identify regulatory risk for the firm
- Ability to operate effectively in a team environment
- Solid knowledge of electronic trading, emphasizing listed options and futures
- Extensive knowledge of SEC, FINRA, CFTC and U.S. exchange rules and regulations
- Establish strong working relationships with exchanges, regulators and vendors
- Exceptional verbal and written communication skills
- Strong time management skills with an emphasis on follow-through and completion of projects
- Legal authorization to work in the U.S.
- Series 3, 7, or 57
Desired Qualifications
- Prior securities or commodities trading experience
- Experience with European trading rules
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