- Chicago, IL
Client is a global trading organization. Their mission is to empower an organization of exceptional individuals to identify and capture trading opportunities in the global markets by leveraging and integrating technology, risk management and quantitative research. As the trading industry continues to evolve at an accelerating pace, we expect the future to present us with both great opportunities and challenges.
- Responsible for developing, implementing and monitoring equity-related compliance policies, procedures and internal controls
- Serve as the point person for regulatory audits
- Review, approve and manage the registrations of personnel
- Provide compliance oversight of trade execution services
- Conduct training seminars regarding compliance procedures
- Serve as the internal subject matter specialist to address day-to-day equity-related compliance questions regarding trades, trading strategies, the application of technology to trading methodologies, and back-office operations
- Monitor and report on the effectiveness of policies and procedures and recommend and implement changes where appropriate
- Conduct surveillance and prepare reports
- Interact on a regular basis with FINRA and SROs
- Undertake special compliance-related projects as assigned, such as the development of new products
**Looking for someone coming from prop firm or Broker Dealer.
Execution business/Institutional Trading business…not retail**