Compliance Manager

Compliance Manager, Chicago, IL

We are seeking a talented and self-motivated Compliance Manager candidate to join the Compliance team. The company’s culture emphasizes teamwork and focuses on continuous integration and test-driven development. The ideal Compliance Manager will be self-motivated and able to utilize his or her technical and analytical skillset to support the firm’s on-going compliance efforts. Preferably seeking someone who has familiarity with broker-dealer firms and/or previous compliance experience. Successful Compliance Managers will be technology-oriented problem-solvers that can thrive in a collaborative environment. This is a career advancing opportunity with a proprietary trading firm that has both Broker-Dealer and MiFID Investment firm companies. Knowledge of proprietary trading process, flow and clearing (futures, equities, treasuries) & operations. Company will relocate candidates! This is a Hybrid opportunity with Onsite and Remote availability.

Qualifications:

– Bachelor’s Degree from a 4-year university in Accounting, Finance, Computer Science or equivalent skill set.
– 2+ years of relevant experience, preferably with a registered broker-dealer and/or European Investment Firm engaged in proprietary trading.
– Prior work experience with a regulator or Exchange will also be considered.
– Excellent communication skills both verbal and written.
– We are seeking a person of high integrity as is needed to promote the Culture of Compliance.
– Technical experience with databases with ability to upgrade various Compliance jobs/reports & processes (e.g., SQL scripts, VBA, Macros, Pivot-tables, etc.).
– Ability to work with data as needed for compliance inquiries and/or internal reviews/processes.

Preferred Qualifications:

– FINRA SIE/Series 57 registration or willingness to obtain within first 3 months of employment.
– FINRA Series 24 registration or willingness to obtain within first year of employment.

Benefits include medical insurance, retirement plan, PTO, etc. Salary: 80K+ DOE. Keywords: Chicago IL Jobs, Compliance Manager, SQL Scripts, VBA, Macros, Pivot Tables, Regulatory, Exchange, FINRA, Series 57, Series 24, Financial, Trading, Remote, Work From Home, Chicago Recruiters, Information Technology Jobs, IT Jobs, Chicago Recruiting

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