Compliance Manager
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Compliance Manager

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Compliance Manager, Chicago, IL

We are seeking a talented and self-motivated Compliance Manager to join the Compliance team. The company’s culture emphasizes teamwork and focuses on continuous integration and test-driven development. The ideal Compliance Manager will be self-motivated and able to utilize his or her technical and analytical skillset to support the firm’s on-going compliance efforts. Preferably seeking someone who has familiarity with broker-dealer firms and/or previous compliance experience. Successful Compliance Managers will be technology-oriented problem-solvers that can thrive in a collaborative environment. This is a career advancing opportunity with a proprietary trading firm that has both Broker-Dealer and MiFID Investment firm companies. Knowledge of proprietary trading process, flow and clearing (futures, equities, treasuries) & operations. Company will relocate candidates! This is a Hybrid opportunity with Onsite and Remote availability.


– Bachelor’s Degree from a 4-year university in Accounting, Finance, Computer Science or equivalent skill set.
– 2+ years of relevant experience, preferably with a registered broker-dealer and/or European Investment Firm engaged in proprietary trading.
– Prior work experience with a regulator or Exchange will also be considered.
– Excellent communication skills both verbal and written.
– We are seeking a person of high integrity as is needed to promote the Culture of Compliance.
– Technical experience with databases with ability to upgrade various Compliance jobs/reports & processes (e.g., SQL scripts, VBA, Macros, Pivot-tables, etc.).
– Ability to work with data as needed for compliance inquiries and/or internal reviews/processes.

Preferred Qualifications:

– FINRA SIE/Series 57 registration or willingness to obtain within first 3 months of employment.
– FINRA Series 24 registration or willingness to obtain within first year of employment.

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