Compliance Analyst - Chicago
The Compliance Analyst is responsible for assisting in the maintenance of the firm’s compliance policies and procedures and monitoring the activities of the firm for compliance with various rules and regulations of the SEC, CFTC, exchanges and other entities. The ideal candidate for this position must be experienced with SEC and broker-dealer regulatory compliance requirements and risk-based audits, have a strong project management background, and be able to work on multiple different projects under very aggressive deadlines. The Compliance Analyst will report to the Chief Compliance Officer (“CCO”).
• Assist the CCO with the development, implementation and maintenance of the firm’s written compliance and supervisory policies and procedures to ensure Spot’s practices remain observant to all current federal laws and exchange rules and regulations
• Educate/train staff on and monitor compliance with relevant policies and procedures and regulatory requirements
• Monitor changes in applicable regulations, rules and regulatory interpretations to determine impact on processes, procedures, surveillance and trading systems
• Provide compliance briefs on upcoming rules, revisions to rules and industry practices
• Provide advice on general trading rules and regulations and advise on real-time trading issues
• Assist with regulatory inquiries and audits
• Conduct various procedural reviews and monitor for compliance with policies within the firm’s market making business.
• Conduct compliance reviews of trading algorithms and other technology processes
• Work closely with IT to develop, use and maintain surveillance reports
• Manage the securities registration process for the firm by ensuring employees are appropriately licensed
Skills and Qualifications
• Bachelor’s degree
• Minimum of three years of compliance experience at a broker-dealer or exchange covering equity securities or futures
• Knowledge of SEC, CFTC and exchange rules
• Experience in an electronic trading environment
• Working knowledge of MS Office suite of programs, including Word, Excel, Access and SharePoint. WebCRD is a plus
• Strong oral and written communication and organizational skills
• Highly motivated with capability to work with minimum supervision on a wide range of matters
• Proactive individual with strong deadline focus and extraordinary attention to detail
• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential
Spot Trading, a Chicago proprietary trading firm, continues campus recruiting over the next two weeks, traveling to the University of...