Compliance Officer

Compliance Officer

IMC Financial Markets is a proprietary trading firm and market maker for various financial instruments listed on exchanges throughout the world.

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IMC is a leading global market maker, using algorithmic trading and advanced technology to buy and sell securities on multiple trading venues worldwide. We provide liquidity to the financial markets, driving efficiencies for buyers and sellers.

Founded in 1989, we are an ambitious, innovative company and identified early on the importance technology would play in the fast-paced evolution of trading. This entrepreneurial spirit still drives us today and can be found in all of our offices around the world.


We now operate globally from offices in Europe, the US and Asia Pacific. Our employees work closely together in multidisciplinary teams, making our success possible.

Technology - At IMC, technology is not a department, it is at the heart of everything we do. Our technologists push the limits of possibility, and then look beyond. In our fast-paced environment, short feedback loops mean projects worked on in the morning can enter production the next day.

Trading – Although our traders come from many backgrounds they all have one thing in common: they are at their best solving complex problems. Their insight into global events, market shifts and pricing ensure we are trading in the right place, at the right time.

Business Support - Around the world, IMC’s business support teams are essential for sustaining our success. In our dynamic environment, we have many exciting challenges and multidisciplinary opportunities to shape our operations and make a real impact.


Our employees are our greatest asset so we give them lots of responsibility and the support they need to make a difference. Our flat structure fosters a culture of openness and collaboration, encouraging the sharing of ideas and knowledge. It makes no difference if you have been with us for three days or three years, the best idea wins.

While we work hard, we also have a lot of fun; whether solving complex challenges or in team building, leisure and sporting activities. IMC also enables its employees to contribute towards a better society through our foundation.

Compliance Officer 

As a Compliance Officer at IMC, you’ll manage the day-to-day compliance support, compliance review functions, and support of compliance initiatives. You’ll also:

  • Serve as the first line of defense in keeping our business compliant. This means you’ll maintain accurate, organized, and current compliance records that allow the Firm to respond quickly to any inquiry or audit. You’ll also monitor business activities to ensure the Firm remains in compliance with SRO Regulations and the Firm’s policies and participate in developing, reviewing, and maintaining Written Supervisory Procedures.
  • Partner with our new employees to assist in the registration processes and Exchange membership documentation and applications. You will continue to work closely with our office by managing the internal Compliance material to ensure all documentation is up to date.
  • Monitor trading activity using real-time alerts and various reports. Analyze and compile data into meaningful summaries, update log files, and identify trends promptly, making findings available to the team.  
  • Investigate and perform research related to compliance initiatives. Summarize findings for review, including organizing supporting documents, data, and articles. Monitor and review relevant laws, rules, and regulations to identify new compliance requirements.
  • Collaborate and communicate with cross-functional teams.
  • Work as a part of a team and independently. You should be able to work through a problem and come to a solution by asking great questions and researching. An analytical and inquisitive mind is essential to your success.

What Makes It Fun

  • One of the most fun aspects of the job is how closely you will work with trading and other areas of the Firm. As part of the Compliance team, you will interact with most teams within the organization and achieve a high-level understanding of how the business operates.  
  • We strive to create strong teams with strong individuals. You will learn a lot from your peers and continue developing your skills and business knowledge as the business grows and changes.
  • Working at IMC is also an opportunity to learn about financial markets. We know from experience that many people enjoy learning about a field beyond their immediate area of expertise; it’s one of the things that makes this job more attractive than others.

Key Accountabilities:

  • Partner with Compliance Team to drive IMC’s regulatory vision and compliance efforts
  • Monitor for and assess new or proposed changes in regulations and enforcement actions
  • Promote awareness of regulatory rules and IMC best practices
  • Monitoring trading activity using the Firm’s in-house surveillance systems
  • Monitoring for compliance with the Firm’s personal trading and disclosure policies
  • Maintaining detailed, accurate, and organized documentation of the execution of the Firm’s processes and procedures
  • Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis
  • Assist in CAT compliance monitoring and external communications with SROs and counterparties regarding CAT
  • Assist in onboarding new personnel and managing various SRO registration processes for new employee
  • Assist in onboarding counterparties, brokers, etc.
  • Align synergies with compliance teams in Chicago, Amsterdam, Sydney, and Mumbai where applicable
  • Balancing immediate risk and compliance exposure with the longer-term needs of the Firm
  • Promoting the Firm’s Compliance culture, awareness of regulatory developments, and best practices


  • 5 years of experience working for a proprietary trading firm, exchange, regulatory organization, broker-dealer, futures commission merchant, or similar organization.
  • A Bachelor’s degree
  • FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
  • Strong interpersonal, organizational, analytical, problem-solving, and time-management skills
  • Understanding of financial industry business knowledge
  • Excellent verbal and written communication skills
  • Ability to convey complex ideas or concepts clearly
  • Strong attention to detail
  • Familiarity with SEC, CFTC, and SRO regulations applicable to broker-dealers
  • Experience with FINRA applications, including WebCRD
  • Experience with regulatory requests for information, audits, examinations, and investigations.
  • Excellent computer skills in MS Office
  • Experience with SQL is a plus
  • Experience with OATS, CAT, MFID Transaction Reporting, or Futures Audit Trail is a plus
  • Ability to work independently as well as with others in a small team


To set you up for success, you can find our hiring process including tips on applying and interviewing with us on our website. Now it’s up to you! Apply today to start an amazing journey with IMC.