Full-Time

Compliance Officer

Old Mission

Old Mission

201-500 employees

Global multi-asset market maker using proprietary systems

Data & Analytics
Financial Services

Mid, Senior

Chicago, IL, USA

Requirements
  • 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 stands out as a global, multi-asset market maker with a proven track record, having traded trillions of dollars of securities using their proprietary systems and models. Their advanced platform, developed since 2008, allows them to dynamically value a wide range of financial instruments, offering competitive pricing often tighter than their competitors. As a trusted partner to the world's largest exchanges, brokers, and institutional investors, Old Mission demonstrates industry leadership and a strong, collaborative culture.

Company Stage

Private

Total Funding

N/A

Headquarters

Chicago, Illinois

Founded

2008

Growth & Insights
Headcount

6 month growth

1%

1 year growth

26%

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