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Belvedere Trading, LLC · 1 day ago

Compliance Analyst

Chicago, IL

Full-time

Onsite

Entry, Mid Level

$80K/yr - $100K/yr

2+ years exp

Belvedere Trading is a leading proprietary trading firm headquartered in downtown Chicago, focusing on providing liquidity to the market. They are seeking a Compliance Analyst to help build a more efficient and scalable Compliance program, working closely with the Chief Compliance Officer and interacting with regulators.

Financial Services

Culture & Values

No H1B

Responsibilities

Draft and update written policies and procedures to conform to new regulations and create desktop procedures for a variety of Compliance functions

Oversee and manage the firm’s surveillance processes to ensure compliance with the firm’s personal trading policy

Administer the firm’s daily FINRA CAT compliance reporting

Interface with Belvedere’s regulators, including various self-regulatory organizations, to ensure timely and comprehensive responses to inquiries and exam requests

Interact with Belvedere senior management to ensure that operational procedures are up to date and consistent with WSP requirements

Work alongside experienced traders and technical teams to gain an unparalleled knowledge of our proprietary systems

Qualification

Regulatory compliance experienceFINRA CAT reportingData query skillsExcel proficiencyTechnology fluencyOral communication skillsWritten communication skillsOrganizational skillsProject management skillsDetail-oriented

Required

2-4 years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization

Bachelor's Degree is required

Experience with FINRA CAT daily reporting

The ability to identify and implement technology and process improvement opportunities

High degree of comfort and fluency with technology and understanding of how technology is applied to business and regulatory problems

High degree of comfort in a fast-paced and competitive environment and engage in high-level interactions with all levels of management

Excellent oral and written communication skills

Detail-oriented with outstanding organizational and project management skills

Intermediate data query skills, such as SQL

Proficiency in Excel and data analysis