Compliance Associate
Posted on 1/4/2023
INACTIVE
Crabel

51-200 employees

Global alternative investment firm specializing in automated trading
Company Overview
Crabel Capital Management, LLC, a global alternative investment firm, stands out for its 30-year track record of delivering uncorrelated returns for institutional clients, demonstrating its competitive advantage in the industry. The firm's technical prowess is evident in its advanced, low latency infrastructure and proprietary execution algorithms, which enable efficient trading in approximately 200 futures and foreign exchange markets. The company's inclusive culture, commitment to diversity, and supportive environment make it an attractive workplace, fostering an atmosphere where all employees can thrive.
Financial Services
Data & Analytics

Company Stage

N/A

Total Funding

N/A

Founded

1987

Headquarters

Los Angeles, California

Growth & Insights
Headcount

6 month growth

-3%

1 year growth

-1%

2 year growth

0%
Locations
Milwaukee, WI, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
CategoriesNew
Legal & Compliance
Requirements
  • Bachelor's degree and related industry experience
  • Knowledge and understanding of industry rules and regulations
  • Superior attention-to-detail
  • Ability to effectively multi-task and manage deadlines
  • Ability to learn complex concepts quickly in a fast-paced environment
  • Advanced proficiency in MS office applications and internet use
  • Ability to work a hybrid schedule out of our Milwaukee office #LI-Hybrid
  • Can-do attitude, defaulting to “yes, we will figure out a way”
  • Excellent written, listening, and verbal communication skills
  • A self-motivated and results-driven personality
  • The desire to be a part of an exceptional team in a fast-paced environment
  • Attention-to-detail while managing multiple priorities
  • A pragmatic approach to solving problems
Responsibilities
  • Assume a key role in ensuring the firm's compliance with applicable regulations, including SEC, CFTC and NFA
  • Work closely with Crabel's Chief Compliance Officer to integrate new strategies/products, firm initiatives, and regulatory changes into the compliance framework
  • Assist in maintaining policies, procedures, regulatory risk-matrix and compliance calendar
  • Coordinate firm-wide education and training regarding regulatory compliance obligations, including the development of a compliance desk manual
  • Facilitate the review of employee personal trading activity and pre-clearance reports to ensure compliance with firm policy
  • Review and track employee responses to monthly compliance questionnaires
  • Assist with the firm's regulatory reporting efforts
  • Stay current on relevant SEC, CFTC and NFA developments and industry best practices