Compliance Analyst
Compliance Analyst
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
The Compliance Analyst role at IMC is responsible for ensuring the organization complies with all applicable laws regulations and internal policies for trading US financial products across IMCs US operations. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.
Your Core Responsibilities:
- Partner with the Compliance Team to drive IMCs regulatory vision and compliance efforts
- Promote the Firms Compliance culture awareness of regulatory developments and best practices
- Monitor trading activity using the Firms in-house surveillance systems
- Provide operational support for key external Compliance data reporting platforms (e.g. Consolidated Audit Trail MiFID Transaction Reporting Futures Audit Trail and TRACE)
- Investigate regulatory reporting exceptions identifying root causes and driving the necessary corrective actions
- Implemet Compliance onboarding and offboarding procedures including the Registered Rep registration process (e.g. Forms U4 and U5 fingerprints and address changes)
- Assist in investigating compliance issues responding to requests for information audits and regulatory exams including trade data review and analysis.
- Conduct reviews of employee personal trading including new account set up pre-clearance requests exception review and FINRA 3210 letters.
- Maintain detailed accurate and organized documentation of execution of the Firms processes and procedures.
Your Skills and Experience:
- 1 to 5 years of experience working for a proprietary trading firm exchange regulatory organization broker dealer futures commission merchant or similar organization
- A Bachelors degree
- FINRA Series License SIE and 57 will be required within 1 year of employment
- Knowledge of basic financial industry business knowledge and interest in the U.S. regulatory environment for trading firms
- Demonstrated ability with meeting business requirements for regulatory requests audits examinations and investigations
- Experience with the use of third-party vendors to monitor employee personal trading
- Proficient in use of surveillance tools to monitor trading activity
- Strong interpersonal organizational problem-solving and time-management skills.
- Ability to convey complex ideas or concepts clearly
- Strong attention to detail; eager to learn ask questions and admit mistakes
- Proactive and reliable with the ability to work independently as well as with others in a small team
Please note that immigration sponsorship is not offered for this specific opening.
The Base Salary range for the role is included below. Base salary is only one component of total compensation; all full-time permanent positions are eligible for a discretionary bonus and benefits including paid leave and visit Benefits - US IMC Trading for more comprehensive information.
About Us
IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989 weve been a stabilizing force in financial markets providing essential liquidity upon which market participants depend. Across our offices in the US Europe Asia Pacific and India our talented quant researchers engineers traders and business operations professionals are united by our uniquely collaborative high-performance culture and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies and from developing an innovative research environment to diversifying our trading strategies we dare to continuously innovate and collaborate to succeed.
Required Experience:
IC
Employment Type
Full Time
