Senior Compliance Analyst

Confirmed live in the last 24 hours

Locations

Chicago, IL, USA

Experience Level

Entry

Junior

Mid

Senior

Expert

Desired Skills

Communications

Requirements

2-5 years of relevant work experience with a trading firm, regulator, or exchange
Experience with the compliance administration of an institutional client business
Written and verbal experience facing institutional clients
Bachelor's degree in relevant field
Exceptional written and verbal communication skills
Basic knowledge of SEC, FINRA, CFTC, SRO rules and regulations
Outstanding organizational skills and strong attention to detail in a fast-paced environment
Ability to work and succeed independently as well as in a team environment
Experience with Microsoft Office products
Series 7 (or ability to obtain within 90 days of employment)

Responsibilities

On-board institutional clients and counter-parties, including KYC and annual account maintenance
Assist with drafting and maintenance of client policies and account disclosures
Maintain and update the Firm's database of existing clients and prospective clients
Manage FINRA CRD, including the Firm's BD license, individual U4 registrations, and exchange memberships
Perform daily and routine surveillance reviews involving the Firm's trading activity and regulatory requirements
Work with Trading and Development to ensure the Firm's compliance report suite is current and accurate
Work closely with the Firm's Operations and Finance Teams to streamline processes and assist with complex projects, when required
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

Desired Qualifications

Knowledge of Muni, Corporate, and Government Bond dealing
Extensive experience with institutional customer compliance, including on-boarding and maintenance
Experience with Schwab Compliance Solutions
Experience with Smarsh or Global Relay
Options and/or Futures regulatory experience

Old Mission is a global proprietary trading firm that leverages state-of-the-art technology and research to identify and execute profitable trading strategies across multiple asset classes around the world. Our offices in Chicago, New York, London, and Singapore are all composed of naturally-curious individuals who thrive in a team environment and constantly strive for improvement.

Old Mission does not seek capital from outside investors, allowing us the flexibility to aggressively invest in our team members and keep them engaged in the firm’s growth.

About The Position

Old Mission is a global trading firm, currently seeking an Senior Compliance Analyst to join our Compliance Team in our Chicago, IL office. This individual will assist the Team as a compliance “generalist”, supporting all aspects of the Firm’s compliance program, including surveillance, research, administration, and institutional client on-boarding.

Responsibilities:

On-board institutional clients and counter-parties, including KYC and annual account maintenance
Assist with drafting and maintenance of client policies and account disclosures
Maintain and update the Firm’s database of existing clients and prospective clients
Manage FINRA CRD, including the Firm’s BD license, individual U4 registrations, and exchange memberships
Perform daily and routine surveillance reviews involving the Firm’s trading activity and regulatory requirements
Work with Trading and Development to ensure the Firm’s compliance report suite is current and accurate
Work closely with the Firm’s Operations and Finance Teams to streamline processes and assist with complex projects, when required
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:

2-5 years of relevant work experience with a trading firm, regulator, or exchange
Experience with the compliance administration of an institutional client business
Written and verbal experience facing institutional clients
Bachelor’s degree in relevant field
Exceptional written and verbal communication skills
Basic knowledge of SEC, FINRA, CFTC, SRO rules and regulations
Outstanding organizational skills and strong attention to detail in a fast-paced environment
Ability to work and succeed independently as well as in a team environment
Experience with Microsoft Office products
Series 7 (or ability to obtain within 90 days of employment)

Nice to Haves:

Knowledge of Muni, Corporate, and Government Bond dealing
Extensive experience with institutional customer compliance, including on-boarding and maintenance
Experience with Schwab Compliance Solutions
Experience with Smarsh or Global Relay
Options and/or Futures regulatory experience

Old Mission is not accepting unsolicited resumes from any staffing/search firms. All resumes submitted by staffing/search firms to any employee at Old Mission via-email, the Internet or directly without a valid signed search agreement will be deemed the sole property of Old Mission, and no fee will be paid in the event the candidate is hired by Old Mission.

51-200 employees

Website

Global quantitative market-making platform

Company Overview

Old Mission's market making platform enables them to work with the world’s largest brokers, clearing firms, and institutional investors as a trusted partner, assisting them in transferring risk in a wide range of securities, often at prices that are much tighter than the competition. Old Mission values thousands of financial instruments globally, and have traded trillions of dollars of securities using proprietary systems and models, both on and off exchange.

Benefits

Competitive Salary
Discretionary bonus
Top tier Medical, Dental, Vision, Disability and Life Insurance paid for by the firm
401(k) with employer match
Full stocked kitchen, free breakfast and lunch everyday on-site
Tuition reimbursement
Flexible Spending Plan
Commuter Benefit Program

Company Core Values

Ownership
Collaboration