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Senior Compliance Analyst
Confirmed live in the last 24 hours
Chicago, IL, USA
Experience Level
Desired 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)
  • 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

51-200 employees

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.
  • 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