Compliance Associate at PEAK6
PEAK6 is a leading investment firm headquartered in Chicago. More than 20 years ago, we were one of the first firms to develop sophisticated proprietary technology in our options trading business. Today, we leverage our technical ingenuity and operational ability across a number of investment areas, spanning early- to mid-stage growth capital, operational control, trading, and sports management, with an eye toward providing value to the customer. Over the years, we have built and operated several leading financial technology firms and today our team includes a digital wealth clearinghouse, an outsource provider of flood insurance, a Premier League soccer team, a value investment arm, an incubation lab, and more.
As a member of the Compliance Team at PEAK6, you’ll ensure the ongoing support and implementation of an effective compliance program which includes the development of policies and procedures, manuals, training, and employee monitoring.
You will be responsible for:
- Assisting in developing, implementing and enforcing a detailed compliance program to ensure compliance with SEC / FINRA (other SRO) regulations and firm policies.
- Drafting and maintaining policies and procedures.
- Providing ongoing support to employees on compliance areas, including policies, disclosures, and personal trading.
- Analyzing large amounts of data.
- Monitoring for compliance with internal policies and procedures and regulatory requirements.
- Conducting comprehensive compliance reviews and testing.
- Identifying potential areas of compliance vulnerability and risks; articulating and implementing corrective action plans.
- Researching new or revised laws and regulations (and corporate policy where applicable) to determine impact on the business and its processes and procedures.
- Administering a compliance-training program for employees.
- Various administrative functions such as setting up/removing users, establishing and monitoring employee personal trading feeds, collecting and reviewing personal trading statements, distributing compliance affirmations, and reviewing employee disclosures.
You'll gain loads of experience in this role, but before you do you should have:
- 2-5 years of general financial services compliance experience, including working knowledge of U.S. regulatory rules and interpretations.
- Money Services Business compliance, including use of NMLS, experience is a plus.
- Ability to work well under pressure, ability in handling multiple priorities while keeping an enthusiastic attitude.
- Excellent oral and written communication and interpersonal skills.
- Ability to work independently with limited supervision and guidance.
- Superior attention to detail and organizational skills.
- Ability to maintain a high level of discretion and confidentiality over a variety of sensitive information.
Additional technical and educational items that set you apart
- Series 57 and 24 licenses
- Prior use of Schwab Compliance Technologies (formerly Compliance11), FINRA’s Central Registration Depository (CRD), and National Mortgage Licensing System (NMLS)
- Cryptocurrency experience
- Advanced Excel skills
- Basic SQL and/or Python coding skills
All of our team members have these traits. You should, too.
Motivation Collaboration Curiosity
Integrity Adaptability Ingenuity
Life at PEAK6
We want you to like coming to work so we work really hard to make your job fun and different from any other.
As a PEAK6 Compliance Associate, you can enjoy:
- Generous medical, vision and dental plans
- Matching 401(k) programs
- Adoption assistance & family leave
- Sabbatical program
- Speakers Series
- Massage days
- Poker tournament with a grand prize of a World Series of Poker buy in
- Sports leagues
- Cornhole tournaments
- Annual PEAK6 Party
- Yoga classes
- Tuition reimbursement
- Lasik eye discount
- Philanthropy events
- Annual wellness screens and flu shots
- Bagel Fridays/expiration lunches
- Birthday gifts
- Charitable matching gift program