Senior Compliance Officer

A reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of activities across the team to support the compliance program. Opportunities for advancement, a positive team culture, and collaboration with senior leadership will be core aspects of this position. The role will sit in downtown and be set in a hybrid structure.Responsibilities:Conduct trade surveillance reviews and ensure compliance with regulatory requirementsOversee the FINRA CRD, BD licenses, U-4 and U-5 registrations, and exchange membershipsPartner with trading and technology teams consistently to stay in collaboration on reporting systemMaintain and develop new Written Supervisory ProceduresStay current as a subject matter expert on trading regulatory requirements and best practicesWork to continuously improve operational efficiency of the firm's compliance processesPrepare and execute on regulatory examinationsQualifications:7+ years of experience with within a trading firm, exchange or regulatory agencyFINRA 7 required, and 3 & 24 preferredHeavy trade surveillance of equities, options and securitiesSubject matter expertise on SEC, FINRA, CFTC and SRO rules and regulationsFamiliarity with SQL, VBA and any other advanced languagesBenefits:Promotional growth opportunitiesFull Medical, Vision, Dental and 401kHybrid work structureIf you are interested in this opportunity, apply with the link above for immediate consideration!