Full-Time

Compliance Officer

Confirmed live in the last 24 hours

Old Mission

201-500 employees

Global market maker in securities and derivatives

Data & Analytics

Financial Services

Senior

Chicago, IL, USA

Required Skills

Communications

Requirements

Ability to work and succeed independently as well as in a team environment
Outstanding organizational skills and strong attention to detail in a fast-paced environment
Exceptional written and verbal communication skills
Minimum of 5 years of relevant work experience with a trading firm, regulator, or an exchange
Advanced knowledge of SEC, FINRA, CFTC, SRO rules and regulations
Knowledge of AML/OFAC/KYC regulations
Working knowledge of VBA and/or SQL
Bachelor’s degree
Series 3, 7, or 24 is preferred

Responsibilities

Manage FINRA CRD, including the Firm’s BD licenses, individual U-4 registrations, and exchange memberships
Perform routine and daily surveillance reviews involving the Firm’s trading activity and regulatory requirements
Assist with the management and maintenance of the Firm’s market data reporting
Work with exchanges and vendors involving operational setups and maintenance
Work with Trading and Technology teams to ensure the Firm’s compliance report suite is current and accurate
Assist with the preparation and execution of the Firm’s regulatory inquiries and exams
Work closely with the Firm’s Operations team to streamline and improve current processes
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

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, and London 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 experienced Compliance Officer to join our Compliance team in our Chicago office. At Old Mission we are looking for progressive minds with a relentless passion for innovation. As a Compliance Officer you will be a key resource assisting the Compliance Team as a Compliance “generalist”, supporting all aspects of the Firm’s compliance program, including surveillance, research, trader support and education, and inquiry/exam responses. This position will allow you to monitor and support fixed income, equities, options, and futures trading activity while adhering to Old Mission’s policies and procedures. As a Compliance Officer you’ll be responsible for conducting surveillance, monitoring, and reporting on various compliance and regulatory matters, while providing input to improve or streamline existing processes using your industry experience. On this team, you will interact with most teams within the organization, including Trading, Technology, and Operations, and will develop a high-level understanding of internal workings of our business.

Responsibilities

Manage FINRA CRD, including the Firm’s BD licenses, individual U-4 registrations, and exchange memberships
Perform routine and daily surveillance reviews involving the Firm’s trading activity and regulatory requirements
Assist with the management and maintenance of the Firm’s market data reporting
Work with exchanges and vendors involving operational setups and maintenance
Work with Trading and Technology teams to ensure the Firm’s compliance report suite is current and accurate
Assist with the preparation and execution of the Firm’s regulatory inquiries and exams
Work closely with the Firm’s Operations team to streamline and improve current processes
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

Ability to work and succeed independently as well as in a team environment
Outstanding organizational skills and strong attention to detail in a fast-paced environment
Exceptional written and verbal communication skills
Minimum of 5 years of relevant work experience with a trading firm, regulator, or an exchange
Advanced knowledge of SEC, FINRA, CFTC, SRO rules and regulations
Knowledge of AML/OFAC/KYC regulations
Working knowledge of VBA and/or SQL
Bachelor’s degree
Series 3, 7, or 24 is preferred

Benefits and Perks

Competitive salary with discretionary annual bonus
Fully paid Medical, Dental, Vision, Disability, and Life Insurance
Fully stocked kitchen; free breakfast and lunch every day on-site
Tuition Reimbursement Program
401(k) with employer match
Flexible Spending Plan
Commuter Benefit Program

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.

Old Mission

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Website

View Company Profile

Old Mission is a global market maker that utilizes advanced technology and proprietary systems to dynamically value individual securities and derivatives at the speed of modern markets, enabling them to price thousands of financial instruments globally and trade trillions of dollars of securities both on and off exchange. They have developed a market-making platform that allows them to work with the world’s largest exchanges, brokers, and institutional investors as a trusted partner, assisting them in transferring risk in a wide range of securities.

Company Stage

Private

Total Funding

N/A

Headquarters

Chicago, Illinois

Founded

2008

Growth & Insights

Headcount

6 month growth

↑ 2%

1 year growth

↑ 22%

2 year growth

↑ 33%

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