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Compliance Governance Manager

Belvedere Trading is a proprietary trading firm located in Chicago, specializing in equity index and commodity derivatives.

(more about Belvedere Trading)
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Compliance Governance Manager

Belvedere Trading is a global proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities, interest rates, exchange-traded funds (ETF), equity index, equities, and equities options. From the beginning, we began iteratively investing in our proprietary technology and committing to building our systems from the ground up. Our trading models and software systems are continually re-engineered, optimized, and maintained to stay on top of the industry.

Our Business department is comprised of several key teams who work to ensure that Belvedere is operating at the highest level.  We look for passionate team members that excel and their contribution is critical to our continued success. Our Business Teams build and manage processes that strive to improve all facets of the company. Whether it’s human or financial capital, our goal is to drive productivity while enhancing Team Belvedere’s experience.

Within the Business Department, the Compliance and Legal team serves in an advisory capacity to Belvedere's trading, operational, and technical functions by developing and implementing an effective compliance system throughout the organization, including providing legal and regulatory advice and counsel to all facets of the business and the firm’s growth initiatives.

We are looking for a Compliance Governance Manager to join the Compliance team. This individual will report to the Chief Compliance Officer and will work closely with the Chief Compliance Officer and the Compliance Officer to build a more efficient and scalable Compliance program.

What You’ll Do

    • Draft written supervisory procedures (“WSPs”) and conduct periodic testing and assessments to identify opportunities for procedural or control enhancements
    • Interact with Belvedere senior management to ensure that operational procedures are up to date and consistent with WSP requirements
    • Draft desktop procedures for a variety of Compliance functions
    • Keep current with industry and regulatory developments applicable to Belvedere and draft memorandums summarizing the key points for the Chief Compliance Officer
    • Interface with Belvedere’s regulators, including various self-regulatory organizations like CBOE and CME, to ensure timely and comprehensive responses to inquiries and exam requests
    • Work alongside experienced traders and managing partners to gain an unparalleled knowledge of our proprietary systems

What You’ll Need

    • 3-7 years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization
    • Bachelor’s Degree required
    • The ability to identify and implement technology and process improvement opportunities
    • Be an independent leader on projects that improve our trading operations management
    • High degree of comfort and fluency with technology and understanding of how technology is applied to business and regulatory problems
    • High degree of comfort in a fast-paced and competitive environment and engage in high-level interactions with all levels of management
    • Excellent oral and written communication skills
    • Detail-oriented with outstanding organizational and project management skills
    • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

Preferred Qualifications

    • Intermediate data query skills, such as SQL
    • Proficiency in Excel and data analysis
    • Project management certification(s)
    • Series 57, 7, or other FINRA license(s)
    • Strong knowledge of capital markets
    • JD, MBA, or Master’s Degree in Finance or Technology
Women and underrepresented groups frequently apply to jobs only if they meet 100% of the qualifications.
We encourage you to break that mold and apply. No candidate is perfect; all have a lot to offer. We welcome your application.

Core Values
The secret to our award-winning culture is our Core Values: Team Belvedere, Me In Team, Own It, Iterative Innovation, and Passionate Discourse. We live and breathe these values every day.
 
Our Stance
Belvedere is an Equal Opportunity Employer and is committed to providing a non-discriminatory employment environment for its employees. Discrimination against employees and applicants due to race, color, religion, sex, national origin, disability, age, military, and veteran status is prohibited. Belvedere encourages initiatives to increase diversity and provide equal opportunity to all applicants and employees. Belvedere is committed to providing a positive environment in which team members are treated with respect, dignity, and courtesy. Our firm believes in a dynamic culture of inclusion and diversity, where people thrive on individual and organizational characteristics, values, experiences, and backgrounds.
 
Please note that Belvedere Trading does not accept unsolicited resumes from search firms or employment agencies. Any unsolicited resumes will become the property of Team Belvedere. No phone calls, please.
 
Any questions regarding the virtual recruiting process, please reach out to recruiting@belvederetrading.com.
 
Work Schedule: Regular and reliable attendance during standard business hours
Amount of Travel Required: None 
Sponsorship: Not available for this position