Compliance Officer at PEAK6
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.