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About the Role

As a Compliance Officer, you will support the firm’s global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. You will be responsible for developing, refining, and applying surveillance rules, investigating alerts, and supervising compliance staff.

Responsibilities

• Develop, refine, and apply proprietary and external surveillance rules related to market maker quote compliance and market abuse.
• Define business requirements for surveillance system enhancements and work closely with technology teams to drive efforts to completion.
• Investigate surveillance alerts and escalate findings.
• Supervise Compliance staff responsible for completing first level surveillance reviews.
• Draft and update compliance written supervisory procedures related to trading compliance.
• Review and summarize proposed regulatory rules and guidance related to trading compliance for applicability.
• Assist in the preparation of responses to formal investigations and other regulatory inquiries from various U.S. and European regulators.
• Liaise and communicate with various teams including trading, technology, and operations.

Requirements

• Bachelor’s degree required.
• At least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
• Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment.
• Ability to regularly assess the efficiency of control systems and recommend effective improvements.
• Demonstrate a high level of integrity.
• Proactive approach to help identify regulatory risk for the firm.
• Ability to operate effectively in a team environment.
• Solid knowledge of electronic trading, emphasizing listed options and futures.
• Extensive knowledge of SEC, FINRA, CFTC and U.S. exchange rules and regulations.
• Experience with European trading rules a plus.
• Establish strong working relationships with exchanges, regulators and vendors.
• Exceptional verbal and written communication skills.
• Strong time management skills with an emphasis on follow-through and completion of projects.
• Legal authorization to work in the U.S. is required.
• Will not sponsor individuals for employment authorization for this job opening.

Skills

• Market maker quote compliance
• Market abuse surveillance
• Eventus
• Nasdaq SMARTS
• SEC rules and regulations
• FINRA rules and regulations
• CFTC rules and regulations
• U.S. exchange rules and regulations
• European trading rules
• Electronic trading
• Listed options
• Futures

Location

• Chicago

Work Type

• Hybrid

Experience Level

• 8+ years
• 3+ years

Education Level

• Bachelor's degree

Salary/Compensations

• $150,000—$200,000 USD

Benefits

• Generous time off
• Insurance coverage
• Paid parental leave
• Free breakfast and lunch
• Healthy snacks
• Wellness reimbursement

About the Company

• Chicago Trading Company (CTC) is a premier proprietary trading firm specializing in options market making.
• Our collaborative culture fuels innovation in quantitative research, systematic trading strategies, and cutting-edge trading technology.
• For over three decades CTC has provided critical liquidity across derivatives exchanges worldwide - making them fairer, more transparent, and more efficient.
• We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence.
• We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong.
• Started in 1995 by a team of forward-thinking Traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.

Equal Opportunity

• CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status.
• We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment.