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The Senior Compliance Officer will provide strategic compliance guidance, conduct compliance reviews, and establish efficient compliance processes while promoting a culture of compliance within the firm.
Belvedere Trading is a leading proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities, interest rates, exchange-traded funds (ETF), and equity index options. From the beginning, we began iteratively investing in our proprietary technology and committing to building our systems from the ground up. Our trading models and software systems are continually re-engineered, optimized, and maintained to stay on top of the industry.
Our Business department is comprised of several key teams who work to ensure that Belvedere is operating at the highest level. We look for passionate team members that excel and their contribution is critical to our continued success. Our Business Teams build and manage processes that strive to improve all facets of the company. Whether it’s human or financial capital, our goal is to drive productivity while enhancing Team Belvedere’s experience.
We are looking for a Senior Compliance Officer to join the Compliance team. This individual will report to the Chief Compliance Officer and work closely to build a more efficient and scalable Compliance program.
What you'll do
- 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.
What you'll need
- 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.
- FINRA Series 57 and 24 preferred.
- Bachelor’s Degree required and Masters Degree preferred.
- Intermediate data query skills, such as SQL
- Proficiency in Excel and data analysis
Women and underrepresented groups frequently apply to jobs only if they meet 100% of the qualifications. We encourage you to break that mold and apply. No candidate is perfect; all have a lot to offer. We welcome your application.
Core Values
The secret to our award-winning culture is our Core Values: Team Belvedere, Me In Team, Own It, Build Rockets, and Passionate Discourse. We live and breathe these values every day.
Our Stance
Belvedere is an Equal Opportunity Employer and is committed to providing a non-discriminatory employment environment for its employees. Discrimination against employees and applicants due to race, color, religion, sex, national origin, disability, age, military, and veteran status is prohibited. Belvedere encourages initiatives to increase diversity and provide equal opportunity to all applicants and employees. Belvedere is committed to providing a positive environment in which team members are treated with respect, dignity, and courtesy. Our firm believes in a dynamic culture of inclusion and diversity, where people thrive on individual and organizational characteristics, values, experiences, and backgrounds.
Please note that Belvedere Trading does not accept unsolicited resumes from search firms or employment agencies. Any unsolicited resumes will become the property of Team Belvedere. No phone calls, please.
Any questions regarding the virtual recruiting process, please reach out to [email protected].
Work Schedule: Regular and reliable attendance during standard business hours
Amount of Travel Required: None
Sponsorship: Not available for this position
Top Skills
Excel
SQL
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