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Belvedere Trading, LLC · 1 day ago

Senior Compliance Officer

Chicago, IL

Full-time

Onsite

Senior Level, Lead/Staff

$150K/yr - $190K/yr

10+ years exp

Belvedere Trading is a leading proprietary trading firm proudly headquartered in downtown Chicago. They are seeking a Senior Compliance Officer to provide strategic regulatory compliance guidance, conduct internal compliance reviews, and promote a culture of compliance throughout the firm.

Financial Services

Culture & Values

No H1B

Responsibilities

Provide strategic regulatory compliance guidance to the firm’s business lines and leadership team

Suggest pragmatic, scalable, and automated compliance solutions for new or existing business initiatives

Conduct comprehensive internal compliance reviews to identify potential operational gaps or inefficiencies and develop strategic and scalable solutions

Periodically review the firm’s supervisory procedures for relevance, adequacy, and effectiveness

Keep abreast of regulatory developments, including rulemaking by the firm’s regulators and self-regulatory organizations

Promote a culture of compliance throughout the firm and accountability by the firm’s registered principals with respect to their supervisory responsibilities

Administer compliance training to the firm’s employees

Oversee the firm’s engagement and response to regulatory examinations, audits, and inquiries

Oversee the firm’s 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

Qualification

Regulatory compliance experienceBroker-dealer regulationsFINRA CAT reportingData query skillsExcel proficiencyCompliance trainingRegulatory risk mitigationLeadership

Required

10+ years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization

Deep expertise in broker-dealer and 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

Experience identifying compliance process inefficiencies and implementing technical-based solutions

Demonstrate initiative and an ability to identify, prevent, and mitigate regulatory risks

Be an independent leader on projects that improve our trading operations management

Bachelor's Degree required and Masters Degree preferred

Intermediate data query skills, such as SQL

Proficiency in Excel and data analysis