Compliance Analyst

Chicago, IL 60606

Posted: 01/14/2019 Category: Business Analyst Job Number: 11282

Senior Compliance Analyst

As a Senior Compliance Analyst, 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 along with Firm policies and participate in the development, review and maintenance of Written Supervisory Procedures.
  • Partner with our new employees  to assist in the registration processes and Exchange membership documentation and applications. 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. Assist in monitoring and reviewing relevant laws, rules and regulations to identify new compliance requirements.
  • Collaborate and communicate with  cross functional teams, particularly Systems IT to create solutions across multiple departments and to improve quality and efficiency within the support teams.
  • Work as a part of a team and independently. You should be able to work through a problem and come to a solution on your own through asking great questions and doing research. 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 will continue to develop your skills and business knowledge as the business grows and changes.

We employ a broad range of people with varying backgrounds. What they have in common is their  superior technical expertise, their extraordinary smarts and their collaborative approach. We will not accept less.

Key accountabilities:
  • Partner with Chief Compliance Officer to drive our regulatory vision and compliance efforts
  • Assess the impact of new and proposed changes in regulations and enforcement activities.
  • Developing and maintaining internal compliance surveillance tools.
  • Working closely with traders & IT to automate compliance functions
  • Align synergies with compliance teams in Chicago, Amsterdam, Sydney, and Hong Kong where applicable;
  • Balancing immediate risk and compliance exposure with the longer-term needs of the firm.

  • 3-5 years of equities and ETF regulatory compliance experience
    • Specifically, Dark pool, payment for order flow, or wholesaling knowledge
    • Working knowledge of Regulation ATS
  • A Bachelor’ s degree
  • Exceptional written and grammar skills are vital 
  • Respond to requests for information from regulatory bodies.
  • Assist in the management of audits, examinations, and investigations into regulatory and compliance issues.
  • Strong interpersonal, organizational, problem-solving, and time management skills
  • Understanding of financial industry business knowledge
  • Excellent verbal and written communication skills
  • Strong attention to detail
  • Excellent computer skills in MS Office
  • Experience with relational databases (i.e.: SQL, VBA, Access)
  • Ability to convey complex ideas or concepts clearly; evaluate documents and proofread/edit for structure
  • Promote awareness of regulatory rule and best practices
3+ years of ETF Regulatory Compliance , SQL, VBA, Excel, Regulation ATS

Jordan Zmick

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