Compliance Officer at PEAK6

| Chicago
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PEAK6 was brought to life by the idea that a strong collaborative process drives success. The passion for that idea powers our firm still, 20 years later. As a Compliance Officer, you’ll be integral in supporting an effective firm-wide compliance program for multiple broker-dealers, a cryptocurrency execution and custody business as well as other affiliate businesses. This is an opportunity for an individual that is looking for breadth and diversity of projects and initiatives across business lines. 

You’ll be responsible for:

  • Ensuring that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm’s business policies and processes.
  • Partnering with business units and establishing, maintaining and developing credible relationships to effectively manage a robust compliance program.
  • Clearly and concisely communicating regulatory, industry and compliance developments, including policy changes, to the businesses.
  • Providing input, assessing, and reporting on compliance risk related to material business/operational changes and new initiatives. 
  • Supporting the businesses through advice and interpretations.
  • Conducting comprehensive compliance reviews of business activities, practices and controls; identifying potential areas of compliance vulnerability and risk, developing and implementing corrective action plans for resolution of problematic issues; providing general guidance on how to avoid or deal with similar situations in the future.
  • Conducting existing surveillance of trading activities and enhance as appropriate; forecasting surveillance requirements, needs and wants; documenting surveillance technical requirements; preparing comprehensive management reports of status and progress of surveillance initiatives.
  • Providing initial and ongoing compliance training to management and staff, including but not limited to preparing routine educational memoranda.
  • Assisting with regulatory reporting related to US ownership/investment management limits (e.g., Forms 13G and 13F, etc.)
  • Assisting with form filings, securities registration/licensing, and continuing education through WebCRD, including examination windows and waivers.
  • Ensuring the maintenance of required books and records, paper and electronic.

You’ll gain loads of experience in this role but before you do, you should have:

  • Five years of securities industry compliance experience (FINRA & SEC).
  • A strong working knowledge of stock and options regulatory rules and interpretations, including but not limited to, options market making rules, Reg SHO, Reg NMS, and Market Access Rule 15c3-5. 
  • Exceptional verbal and written communication skills; ability to communicate at all levels.
  • The ability to prioritize and multi-task effectively under pressure; excellent organizational and time management skills.
  • Superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters.
  • Experience with coordinating regulatory inquiries, exams and preparing responses.   
  • The ability to provide interpretation, guidance and judgment on non-routine and often complex regulatory matters.
  • Strong analytical (understanding of complex regulatory requirements with ability to apply to supported businesses) project management and leadership skills.
  • Strong technology/software application skills.
  • Extended hours may be required on short notice and may include weekends, evenings and holidays.
  • Series 7 and 24 securities licenses preferred.
  • State Money Transmission License experience preferred.
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Technology we use

  • Engineering
    • GolangLanguages
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • jQueryLibraries
    • ReactLibraries
    • ReduxLibraries
    • Node.jsFrameworks
    • MongoDBDatabases
    • MySQLDatabases
    • PostgreSQLDatabases

Location

Chicago Board of Trade

An Insider's view of PEAK6

How would you describe the company’s work-life balance?

This is very important and luckily, we feel it’s something attainable for our employees. We have a generous time off policy, in addition to other affiliated vacation perks and leave benefits.
For example, to help employees save time on conventional tasks, we offer complementary services in the office, such as manicures, massages, and yoga classes.

Courtney Kuhnen

Human Resources Business Partner

How do you collaborate with other teams in the company?

Our developers are also a part of the decision-making process. We help our technologists take an interest in the business side of things - they know how the end product should work. Our developers know how the traders are going to use a product and after a product is delivered, the developer stays involved – making sure that things work efficently.

Rishi Kamath

QA Development Lead

How does the company support your career growth?

We have a big focus on career growth, especially for those in technology. Because of our size, there are opportunities to prove yourself and rapidly increase your responsibility on a team. And because of Peak6’s culture of constantly trying new things, there are often opportunities to get in at the ground floor of new ventures in a leadership role

Paul Whalen

Software Engineer

What unique initiatives do you have that encourage innovation?

We organize “tech days” where employees are encouraged to work on tech projects of their choosing. Projects have ranged from mobile apps to Sega emulators to workflow improvements for our developers. Recently, tech days took the form of a more formal hackathon, in which technologists and traders teamed up to prototype several new trading tools.

Luke Peeler

Software Engineer

What’s the vibe like in the office?

I like working at PEAK6 because there’s always something exciting to work on and I’m always learning something new. It’s also a privilege to work with so many smart people that are never hesitant to act as mentors. Lastly, PEAK6 gives me the opportunity to wear many different hats – I’m never restricted to working on just one thing.

Sean Lester

Software Engineer

What are PEAK6 Perks + Benefits

PEAK6 Benefits Overview

At PEAK6, you’ll find flexibility with our work-life balance, a collaborative spirit and the ability to cater to your strengths while having opportunities to cultivate new ones.

PEAK6 is committed to addressing barriers to diversity, equity, and inclusion. In June of 2020, PEAK6 created Fintech in Action, a coalition dedicated to Black inclusion in finance and fintech. As part of Fintech in Action we’ve partnered with Greenwood Project, a non-profit that introduces Black and other minority high school and college students to careers in the financial industry with paid summer internships, educational field trips and its summer Financial Institute.

Culture
Partners with Nonprofits
PEAK6 offers coordinated volunteer and philanthropic opportunities throughout the year including, Go Red For Women, Socktober, Filling in the Blanks Backpack Drive, Matching Gifts and Holiday Giving.
Friends outside of work
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Dedicated Diversity/Inclusion Staff
Unconscious bias training
Diversity manifesto
Someone's primary function is managing the company’s diversity and inclusion initiatives
Diversity Employee Resource Groups
POWHER seeks to amplifying women’s voices through the knowledge of money.  BRIDGE, Black Resourceful Individuals Dissolving Gaps Everywhere
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
We offer generous medical, vision & dental plans, including Preferred Provider Organization (PPO) and Health Savings Account (HSA) options.
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
We offer annual wellness screens and flu shots at no additional cost to employees.
Onsite Gym
Employees have access to the FFC-affiliated gym located in the Board of Trade at a discounted rate and free access to yoga classes at Bottom Line Yoga.
Mental Health Benefits
Offering Ginger, an emotional well-being and mental health app to employees and their dependents ages 18 and older. GuidanceResources, an employee assistance program to help with life's challenges.
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Performance Bonus
Match charitable contributions
PEAK6 offers a Matching Gift Program to encourage employees to become active in the support of non-profit organizations and to have a voice in determining the recipients of charitable contributions.
Child Care & Parental Leave Benefits
Flexible Work Schedule
Family Medical Leave
PEAK6 offers up to 12 weeks of unpaid, job-protected leave per year, as well as maintained health benefits, for any employee eligible under the Family and Medical Leave Act (FMLA).
Adoption Assistance
PEAK6's adoption assistance program provides employees with reimbursement for up to $5,000 (per child) of adoption expenses.
Vacation & Time Off Benefits
Generous PTO
PEAK6's vacation policy includes three weeks of PTO, plus 5 personal days. Employees with 5 years of service accrue four weeks of PTO, plus 5 personal days.
Sabbatical
Employees with 10+ years of service can apply to take an 8-week Sabbatical, as well as adding up to 4 weeks of accrued PTO.
Paid Holidays
Whenever the U.S. financial markets are closed, PEAK6 is closed.
Perks & Discounts
Casual Dress
Our employees wear casual attire like jeans, button-down shirts, and t-shirts. On any given day, many employees will be wearing branded PEAK6 clothing.
Commuter Benefits
PEAK6 offers pre-tax commuter benefits for all employee through WageWorks, as well as a Zipcar discount.
Company Outings
PEAK6 has themed social events throughout the year as well as a popular annual company party known for featuring surprise, high profile stars like Imagine Dragons, The Chainsmokers and Keith Urban.
Free Daily Meals
For three Fridays a month, employees enjoy noshing on bagels. For the remaining Friday, employees are treated to a free "Expiration Date" lunch.
Game Room
We host (in office) ping pong, cornhole, and poker tournments. Our employees enjoy a rooftop bar/deck that also includes a game room.
Stocked Kitchen
PEAK6 has a fully-stocked kitchen that includes a cereal bar, coffee bar, a variety of healthy food choices and drinks, as well as an abundance of snacks to put a rumbling stomach to rest.
Some Meals Provided
Happy Hours
The Culture Club at PEAK6 works to host themed social events throughout the year.
Parking
Recreational Clubs
We sponsor various teams based on employee interest, such as: table tennis, beach volleyball, soccer, kickball, flag football, dodgeball, and whirlyball.
Relocation Assistance
We offer relocation assistance plans for new employees and their families.
Fitness Subsidies
PEAK6 offers free yoga classes to Chicago employees at Bottom Line Yoga, which are currently conducted via Zoom.
Professional Development Benefits
Job Training & Conferences
PEAK6 is firmly committed to learning and development as a way to grow and develop employees.
Tuition Reimbursement
At the discretion of management and after completing one full-year of employment, we reimburse up to $8,000 per employee each calendar year for certifications and other educational programs or degree.
Diversity Program
Promote from within
Mentorship program
Continuing Education stipend

Additional Perks + Benefits

We have a dedicated team of employees who volunteer to be a part of our Culture Club. This group works to connect employees through delightful experiences while making a positive impact on PEAK6 life. The Culture Club plans many social and philanthropic employee events throughout the year.

We host bi-annual Hackathons as a collaboration of our technology, trading, support and analytics teams to develop, build, and present new ideas to the firm. The teams are free to explore solutions to problems in and outside of the day-to-day work. Winning Hackathon solutions are frequently deployed and tested in the firm.
Additional perks include:
-Matching gift up to $1000/employee/year
-Free semi-monthly massage day
-Free monthly manicures, pedicures, and mens clip and clean
-Free onsite/Zoom yoga
-Discounts: Lasik eye surgery, Zipcar, Dell computers, local hotels

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