Senior Compliance Officer
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Job Location:
Chicago, IL - USA
Monthly Salary:
Not Disclosed
Posted on:
3 hours ago
Vacancies:
1 Vacancy
Job Summary
Belvedere Trading is a leading proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities interest rates exchange-traded funds (ETF) and equity index options. From the beginning we began iteratively investing in our proprietary technology and committing to building our systems from the ground up. Our trading models and software systems are continually re-engineered optimized and maintained to stay on top of the industry.
Our Business department is comprised of several key teams who work to ensure that Belvedere is operating at the highest level. We look for passionate team members that excel and their contribution is critical to our continued Business Teams build and manage processes that strive to improve all facets of the company. Whether its human or financial capital our goal is to drive productivity while enhancing Team Belvederes experience.
We are looking for aSeniorCompliance Officer to join the Compliance individual will report to the Chief Compliance Officerand workcloselytobuild amore efficient and scalable Compliance program.
What youll do
- Providestrategic regulatory compliance guidance to the firms business lines and leadership team.
- Suggest pragmatic scalable and automated compliance solutions for new or existing business initiatives.
- Conduct comprehensive internal compliance reviews toidentifypotential operational gaps or inefficiencies and develop strategic and scalable solutions.
- Periodically review the firms supervisory procedures for relevance adequacy and effectiveness.
- Keep abreast of regulatory developments including rulemaking by the firms regulators and self-regulatory organizations.
- Promote a culture of compliance throughout the firm and accountability by the firms registered principals with respect to their supervisory responsibilities.
- Administer compliance training to the firms employees
- Oversee the firms engagement and response to regulatory examinations audits and inquiries.
- Oversee the firms FINRA CAT compliance and work with the teams responsible for daily reporting.
- Draft and update policies and procedures to conform to new regulations.
- Draft desktop procedures for a variety of Compliance functions.
What youll need
- 10 years regulatory compliance experience working for an exchange a regulatory organization a Broker Dealer (BD) a Futures Commission Merchant (FCM)or similar organization.
- Deepexpertiseinbroker-dealerand commodities trading laws and regulations and their applicability to large proprietary trading firms.
- Experience with FINRA CAT daily reporting.
- Experience with designing implementing and reviewing regulatory surveillance.
- Experienceidentifyingcompliance process inefficiencies and implementing technical-based solutions.
- Demonstrateinitiativeandanability toidentify prevent and mitigate regulatory risks.
- Be an independent leaderonprojects that improve our trading operations management.
- FINRA Series 57 and 24 preferred.
- Bachelors DegreerequiredandMastersDegree preferred.
- Intermediate data query skills such as SQL
- Proficiencyin Excel and data analysis
$150000 - $190000 a year
Additionally certain positions at Belvedere Trading are eligible for discretionary bonuses. Our employees have access to a variety of benefits which can be found on our websitehere.
Women and underrepresented groups frequently apply to jobs only if they meet 100% of the qualifications. We encourage you to break that mold and apply. No candidate is perfect; all have a lot to offer. We welcome your application.
Core Values
The secret to our award-winning culture is our Core Values:Team Belvedere Me In Team Own It Build Rockets and Passionate Discourse.We live and breathe these values every day.
Our Stance
Belvedere is an Equal Opportunity Employer and is committed to providing a non-discriminatory employment environment for its employees. Discrimination against employees and applicants due to race color religion sex national origin disability age military and veteran status is prohibited. Belvedere encourages initiatives to increase diversity and provide equal opportunity to all applicants and employees. Belvedere is committed to providing a positive environment in which team members are treated with respect dignity and courtesy. Our firm believes in a dynamic culture of inclusion and diversity where people thrive on individual and organizational characteristics values experiences and backgrounds.
Please note that Belvedere Trading does not accept unsolicited resumes from search firms or employment agencies. Any unsolicited resumes will become the property of Team Belvedere. No phone calls please.
Any questions regarding the virtual recruiting process please reach out toemailprotected.
Work Schedule: Regularand reliableattendanceduring standard business hours
Amount of Travel Required:None
Sponsorship:Not available for this position
We may use artificial intelligence (AI) tools to support parts of the hiring process such as reviewing applications analyzing resumes or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed please contact us.
Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Belvedere Trading is a leading proprietary trading firm located in Chicago, specializing in equity index and commodity derivatives.
