Position Summary

Wolverine Execution Services is seeking an experienced and driven individual to work closely with our compliance, business, and technical teams in order to research and develop effective regulatory monitoring and reporting of trading systems and processes.  This individual will be responsible for liaising directly with various trading groups and entities to investigate and build tools to retrieve trading and business information in order to maintain full adherence to all current and future compliance and regulatory requirements.  

Responsibilities

• Help investigate, update, and refine existing logic and procedures for daily FINRA Order Audit Trail System (OATS) reporting for all Wolverine entities.

• Maintain, troubleshoot, and improve internal reporting processes and systems at the direction of firm compliance.

• Assist technical teams in development of firm-wide data warehousing and processing systems to aid in regulatory oversight.

• Contribute to design and final implementation of ongoing projects to comply with upcoming industry initiatives regarding SEC 606 and Consolidated Audit Trail (CAT) reporting.

• Support affiliated Wolverine Broker/Dealers with related compliance technology projects.

Qualifications

• Experience working with Compliance Department(s) to respond to regulatory data requests

• Experience developing automated reports for Compliance Department(s) 

• Experience with broad range of regulatory technology systems, including Blue Sheets, OATS, trade reporting, etc. 

• Knowledge of financial markets, trading systems and trading/order routing protocols

• Written and verbal communication skills, organizational skills, and attention to detail 

• 2-3 years of experience/intermediate-level proficiency writing SQL queries and working with relational databases required.

• 2-3 years of experience/intermediate-level proficiency with a scripting language such as Python, Lua, or Perl required.

• Series 7 or other FINRA license(s) preferred.

About Wolverine

Founded in 1994, the Wolverine companies comprise a number of diversified financial institutions specializing in proprietary trading, asset management, order execution services, and technology solutions. We are recognized as a market leader in derivatives valuation, trading, and value-added order execution across global equity, options, and futures markets. With a focus on innovation, achievement, and integrity, we take pride in serving the interests of both our clients and colleagues. The Wolverine companies are headquartered in Chicago with offices in New York and San Francisco and a proprietary trading affiliate office located in London.

About WEX

Based in Chicago, Wolverine Execution Services, LLC (WEX), a subsidiary of Wolverine Trading, LLC, offers clients multiple venues of execution.  WEX offers three tiers of execution via our proprietary electronic trading platform, direct floor access, and our institutional trading desk.  WEX provides our clients who are seeking execution for stock and ETF’s, options and futures with anonymity, superior execution quality and sophisticated order management.  By employing an experienced team of institutional traders with a strong presence in the U.S. equity markets, WEX’s expertise is focused on finding the best execution, while minimizing market impact.

Sponsorship is not available for this position.