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.
Dynamic, growth-oriented financial services firm seeks an experienced broker-dealer Compliance Officer. The primary responsibility of this compliance position is to ensure the ongoing development and implementation of an effective compliance program including, but not limited to, development of policies and procedures, manuals, and surveillance report program. Qualified candidates must have proven abilities in the areas noted below:
You’ll be responsible for:
- Assisting in developing, implementing and enforcing a detailed compliance program (including policies and procedures) to ensure compliance with SEC / SRO regulations and firm policies.
- Providing ongoing advice to business leaders and others as appropriate.
- Liaising with business leaders and information systems team to assist with systems enhancement and development as related to regulatory and Firm obligations.
- Analyzing large amounts of data.
- Enhancing and redesigning surveillance program, including forecasting surveillance requirements, needs and wants; preparing comprehensive management reports of status and progress of surveillance initiatives.
- 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, procedures, and surveillance reports.
- Providing compliance briefs on upcoming rules, changes, and industry practices.
- Administering a compliance training program for employees.
You’ll gain loads of experience in this role but before you do, you should have:
- 5+ years of securities compliance experience, including strong working knowledge of U.S. regulatory rules and interpretations, particularly options exchange rules.
- 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 work with others to mutually agree upon sound compliance practices, procedures and supervision.
Additional technical and educational items that set you apart
- Series 57 and 24 licenses
- Basic SQL and/or Python coding skills
- A proven track record of ability to work with regulators.