Chief Compliance Officer (IL)

Chief Compliance Officer (IL)

Chief Compliance Officer

Be responsible for overseeing and managing all regulatory and compliance matters for the company.  This role will be based in Chicago and will lead a team of Compliance professionals to ensure the firm is informed and adheres to any and all new regulations or laws as it pertains to company.

Responsibilities:

-Assist management in implementing adequate controls and quality assurance processes to provide early identification and prevention of potential compliance problems.

-Liaise with business leaders and information systems teams to assist with systems enhancement and development related to regulatory firm obligations in order to expedite automation.

-Manage compliance and monitoring issues regarding personal trading for all employees of the firm.

-Manage the development and implementation of policies and procedures to ensure that company practices remain observant to all current federal and self regulatory organization ("SRO") laws, rules and regulations.

-Offer advice on general and complex trading rules and regulations.

-Provide leadership, training and supervision within the department.

-Remain current with industry trends and changes to compliance regulations.

-Effectively communicate conclusions and recommendations.

Qualifications:

-10 to 15 years of experience in a senior compliance role at a Proprietary or Market Making firm.

-Strong relationships with regulators (SEC, FINRA, exchanges etc.).

-Strong interpersonal skills.

-In-depth knowledge of SEC and CFTC rules and regulations.

-Series 24 required.

-Series 14 preferred.

Jobs, Chicago, Chief Compliance Officer, Compliance, Regulations, SEC, FINRA, SEC, CFTC, Series 24, Series 14