Senior Compliance Associate @ Chicago Trading Company

Legal & Compliance (2)
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CTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our fun and trusting culture inspires us to solve the industry’s most challenging problems and take calculated risks in a collaborative environment.

We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence. We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong. Started in 1995 by a team of forward-thinking Traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.

The Senior Compliance Associate supports CTC Trading Group, with a strong focus on our Broker Dealer entities, which play a key role in delivering trading and execution services while ensuring strict adherence to regulatory standards. As a member of our Broker Dealer compliance team, you will help support our client-facing operations and uphold our commitment to integrity, transparency, and sound compliance practices in everything we do.

This position reports to the Chief Compliance Officer and supports critical compliance functions such as counterparty diligence, trade surveillance, responding to regulatory inquiries, crafting compliance workflows, and drafting compliance procedures.

Responsibilities

Complete initial and ongoing counterparty due diligence.
Process new account applications and advance for review and approval.
Monitor trading activities for compliance with federal securities laws, FINRA requirements, and internal risk parameters.
Help respond to ad hoc regulatory inquiries from the SEC, FINRA, and other self-regulatory organizations.
Assist in development and implementation of compliance procedures; support automation of compliance workflows.
Collaborate with internal teams (Trading, Risk, Operations) to resolve Compliance queries and issues.
Stay ahead of regulatory and industry guideline changes, communicating relevant updates across the firm.
Mentor and train junior staff, providing guidance and quality assurance over their work.

Qualifications

Bachelor’s degree required; concentration in Finance, Accounting, Legal Studies, Business Administration, or related field preferred.
3+ years' experience in a compliance or regulatory role within a broker dealer, bank, or similarly regulated financial institution that maintains customer accounts.
Series 7 license, or motivation to acquire the Series 7 within six months
Understanding of SEC and FINRA regulations, including KYC, trading, and trade reporting.
Experience with compliance technology, trade surveillance systems, and regulatory reporting platforms.
Proficiency in MS Office Suite, Jira, and Confluence; compliance system experience preferred.

Compensation

The salary range for this role is listed below. This role is also eligible for an annual discretionary bonus. The discretionary bonus will be dependent upon the individual’s skills, experience, qualifications, and firm performance.

Salary Range

$135,000—$175,000 USD

Most teams at CTC, with the exception of Trading, follow a hybrid workplace model, subject to change based on business need.

Our Benefits

We strongly believe in the well-being of our employees and their families so we offer outstanding benefits to support you both professionally and personally. These benefits include generous medical coverage, paid parental leave, free breakfast and lunch (plus healthy snacks, of course), wellness reimbursement, quarterly recharge days, and a variety of other benefits focused on providing the best employee experience.

(Disclaimer: interns and contractors are not eligible for benefits at CTC)

Our Commitment to Diversity, Equity and Inclusion

At CTC, we aim to cultivate a workplace that celebrates diversity and each person feels included, engaged and empowered. Where each of us feels we belong. We are committed to having a diverse workforce and are proud to be an equal opportunity employer. CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment.

If you have a disability and believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us at [email protected]. Note that emails sent to this email account for non-disability related issues, such as following up on an application, will not receive a response.

Use of Artificial Intelligence (AI)

Information submitted by job applicants may be subject to review and analysis by automated systems, including Artificial Intelligence (AI), as part of the recruitment process. Such systems are utilized to enhance the efficiency and effectiveness of our hiring procedures. Applicants are advised that any information provided may be evaluated by AI tools to ensure an equitable and thorough assessment.

Senior Compliance Associate

Chicago Trading Company

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