Compliance Officer Job at Larson Maddox, Chicago, IL

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  • Larson Maddox
  • Chicago, IL

Job Description

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply.

Responsibilities:

  • Manage FINRA CRD, including the Firm's BD licenses, individual U-4 registrations, and exchange memberships.
  • Perform routine and daily surveillance reviews involving the Firm's trading activity and regulatory requirements.
  • Assist with the management and maintenance of the Firm's market data reporting.
  • Collaborate with exchanges and vendors on operational setups and maintenance.
  • Work with Trading and Technology teams to ensure the Firm's compliance report suite is current and accurate.
  • Assist with the preparation and execution of the Firm's regulatory inquiries and exams.
  • Collaborate closely with the Firm's Operations team to streamline and improve current processes.
  • Assist with the maintenance and expansion of the Firm's Written Supervisory Procedures and related records and surveillance.
  • Review existing compliance practices against regulatory requirements and industry best practices.

Required Skills:

  • Ability to work and succeed independently as well as in a team environment.
  • Outstanding organizational skills and strong attention to detail in a fast-paced environment.
  • Exceptional written and verbal communication skills.
  • Minimum of 5 years of relevant work experience with a trading firm, regulator, or an exchange.
  • Advanced knowledge of SEC, FINRA, CFTC, SRO rules and regulations.
  • Knowledge of AML/OFAC/KYC regulations.
  • Working knowledge of VBA and/or SQL.
  • Bachelor's degree.
  • Series 3, 7, or 24 is preferred.

Job Tags

Permanent employment, Full time, Work experience placement,

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