A reputable financial services institution is looking for a Compliance Officer to join their team! In this role, you will be responsible for overseeing compliance with all trading and investment regulations and requirements for the securities and commodities sectors.
This includes assisting the team on the development, implementation, and management of policies and procedures related to regulatory requirements of those divisions and in partnership with business units to manage their compliance risk.
The position will sit in Chicago in a hybrid structure.
Responsibilities :
- Develop and implement compliance policies and procedures in accordance with regulators and overseeing testing and reporting for the organization.
- Monitor trading activity to identify and address compliance issues and potential risks.
- Collaborate with other departments, including Trading, IT, Legal, Investments and Risk Management, to ensure compliance with all regulations and requirements.
- Develop and maintain relationships with regulatory agencies and industry associations to stay up-to-date on the latest regulatory developments and best practices.
- Assist with internal / external audits and exams.
- Build out written supervisory procedures.
Qualifications :
- Bachelor's degree in business, finance, or a related field.
- 6+ years of experience in trade surveillance activities at a financial institution, preferably at a trading firm or investment bank.
- Knowledge of relevant regulatory requirements, including SEC, FINRA, NFA and CFTC regulations.
- Prior experience with testing and monitoring of compliance controls.
- Experience developing and implementing policies and procedures related to trading surveillance and investment activities.
- Experience conducting audits and risk assessments.
- Familiarity with electronic trading systems and platforms.
Benefits :
- Competitive salary and bonus package
- Excellent benefits (Medical, Vision, Dental, and 401k)
- Hybrid workplace structure
If you are interested in this position, please apply now with the link above!
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