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Senior Compliance Officer

Chicago Trading Company (CTC) is a proprietary market-making firm with floor and electronic operations in the derivatives market.

(more about Chicago Trading Company)

Senior Compliance Officer

CTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our fun and trusting culture inspires us to solve the industry’s most challenging problems and take calculated risks in a collaborative environment.

We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence. We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong. Started in 1995 by a team of forward-thinking Traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.

We are looking for an experienced Senior Compliance Officer with a strong understanding of listed options and futures trading. As a Senior Compliance Officer, you will conduct a variety of responsibilities that supports the Firm’s U.S. based compliance efforts and trading businesses. The ideal candidate will be self-motivated and use an analytical approach to support on-going compliance needs and initiatives within the team and firm.

What You will Do

 

  • Coordinate and prepare responses to formal investigations and other regulatory inquiries from various exchanges and FINRA.
  • Assist with the coordination and response to regulatory examinations and audits.
  • Draft and update compliance written supervisory procedures.
  • Monitor and assess the firm’s trade activity through an internal surveillance system whose reports cover areas such as market maker obligations and market manipulation.
  • Assist with the development and implementation of internally designed exception reports.
  • Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos.
  • Prepare and submit various SEC, CFTC, FINRA and SRO form filings.
  • Liaise and communicate with external regulatory personnel, as well as various internal teams including trading, technology, and operations.

 

What We Are Looking For:

  • 5- 8 years of experience in a compliance function that directly supports a professional trading business.
  • Ability to operate effectively in a team environment.
  • Demonstrate a high level of integrity.
  • Excellent verbal and written communication skills.
  • Capacity to manage and prioritize multiple on-going projects in a fast paced, high performing trading environment.
  • Ability to establish productive working relationships with exchanges, regulators, and vendors.
  • Aptitude to regularly assess the efficiency of control systems and recommend effective improvements.
  • Proactive approach to help identify regulatory risk for the Firm.
  • Strong understanding of electronic trading, with a focus on listed options and futures.
  • Proficiency with SEC, FINRA, CFTC and SRO rules and regulations.
  • Series 14 or 24

Our Benefits

(Disclaimer: does not apply to contract roles) We strongly believe in the well-being of our employees and their families so we offer outstanding benefits to support you both professionally and personally. These benefits include generous medical coverage, paid parental leave, free breakfast and lunch (plus healthy snacks, of course), wellness reimbursement, quarterly recharge days, and a variety of other benefits focused on providing the best employee experience.  

Our Commitment to Diversity, Equity and Inclusion

At CTC, we aim to cultivate a workplace that celebrates diversity and each person feels included, engaged and empowered. Where each of us feels we belong. We are committed to having a diverse workforce and are proud to be an equal opportunity employer. CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. 

If you have a disability and believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us at info@chicagotrading.com. Note that emails sent to this email account for non-disability related issues, such as following up on an application, will not receive a response.