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Full-Time

Compliance Analyst

Posted on 5/2/2024

Maven Securities

Maven Securities

201-500 employees

Proprietary trading firm specializing in low-latency execution

Fintech

Mid

Chicago, IL, USA

Category
Risk & Compliance
Legal & Compliance
Requirements
  • At least 1-3 years of trading Compliance experience dealing with regulators/trading venues
  • A Bachelor’s degree
  • Knowledge of US regulation and its application to Broker Dealers (e.g. SEC Rules, Reg M, etc.)
  • Understanding of market making, derivatives, and equity security trading cycles and market structure
  • Experience in the creation, development, and implementation of compliance policies and procedures for new initiatives
  • Experience with interpreting and summarizing legislative texts
  • Articulate communicator
  • Ability to work independently and escalate issues when required
  • Good organizational skills
Responsibilities
  • Develop and maintain the Compliance framework for the US Broker Dealer entity
  • Review Compliance Monitoring Plan and controls, report findings, and provide recommendations
  • Review impending or proposed legislation and implement changes
  • Assist with responses to inquiries from regulators and trading venues
  • Review alerts generated by monitoring systems and advise on changes
  • Prepare and submit regulatory filings for US businesses
  • Provide advice on regulatory matters to the business

Maven Securities is a proprietary trading firm which utilizes cutting-edge technology such as C++, Python, C#, and FPGAs to architect low-latency trading systems and sophisticated web interfaces. The company’s focus on leveraging advancements in machine learning, computational processing, and network capabilities particularly positions it as a leader in deploying innovative trading strategies across various global markets. Its commitment to continuous technological progression makes it an appealing environment for professionals eager to engage in dynamic and technologically advanced trading operations.

Company Stage

N/A

Total Funding

N/A

Headquarters

null, United Kingdom

Founded

2011

Growth & Insights
Headcount

6 month growth

-3%

1 year growth

-2%

2 year growth

17%

Benefits

401K Scheme

25 Days Annual Leave plus public holidays

Healthcare, Dental & Vision

Employee Volunteering Opportunities

Annual Discretionary Bonus

INACTIVE