Senior Compliance Officer
IMC– Where Technology drives Trading
Trading nowadays happens in a highly competitive technological landscape; the best trading idea alone doesn’t cut it anymore. Instead, only the best trading ideas that are enabled via robust, scalable and fast technology win. Do you enjoy the process of problem solving, a process where you recognize areas of improvement and iterate and innovate to improve? Does your curiosity and desire to learn drive you?
Senior Compliance Officer
As a Senior Compliance Officer at IMC, you’ll manage the day-to-day compliance support, compliance review functions, and support of compliance initiatives. You’ll also:
- Serve as the first line of defense in keeping our business compliant. This means you’ll maintain accurate, organized, and current compliance records that allow the Firm to respond quickly to any inquiry or audit. You’ll also monitor business activities to ensure the Firm remains in compliance with SRO Regulations along with Firm policies and participate in the development, review and maintenance of Written Supervisory Procedures.
- Partner with our new employees to assist in the registration processes and Exchange membership documentation and applications. Continue to work closely with our office by managing the internal Compliance material to ensure all documentation is up to date.
- Monitor trading activity using real-time alerts and various reports. Analyze and compile data into meaningful summaries, update log files and identify trends promptly; making findings available to the team.
- Investigate and perform research related to compliance initiatives. Summarize findings for review, including organizing supporting documents, data, and articles. Assist in monitoring and reviewing relevant laws, rules and regulations to identify new compliance requirements.
- Collaborate and communicate with cross functional teams, particularly Systems IT to create solutions across multiple departments and to improve quality and efficiency within the support teams.
- Work as a part of a team and independently. You should be able to work through a problem and come to a solution on your own through asking great questions and doing research. An analytical and inquisitive mind is essential to your success.
What makes it fun?
- One of the most fun aspects of the job is how closely you will work with trading and other areas of the firm. As part of the Compliance team, you will interact with most teams within the organization and achieve a high-level understanding of how the business operates.
- We srive to create strong teams with strong individuals. You will learn a lot from your peers and will continue to develop your skills and business knowledge as the business grows and changes.
- Working at IMC is also an opportunity to learn about financial markets. We know from experience that a lot of people really enjoy learning about a field beyond their immediate area of expertise, it’s one of the things that makes this job more attractive than others
- We employ a broad range of people with varying backgrounds. What they have in common is their superior technical expertise, their extraordinary smarts and their collaborative approach. We will not accept less.
- Partner with Chief Compliance Officer to drive IMC’s regulatory vision and compliance efforts
- Assess the impact of new and proposed changes in regulations and enforcement activities.
- Work effectively with all levels of management within the company to promptly resolve potential regulatory issues by providing clear guidance
- Promoting the Firm’s Compliance culture, awareness of regulatory developments, and best practices
- Developing and maintaining internal compliance surveillance tools.
- Working closely with traders & IT to automate compliance functions
- Assist in investigating compliance issues, responding to requests for information, managing regulatory exams, and communicating with regulators.
- Align synergies with compliance teams in Chicago, Amsterdam, and Sydney where applicable;
- 6+ years of experience working for a proprietary trading firm, exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant, or similar organization.
- Advanced degree M.B.A, Masters, J.D. (preferred)
- FINRA Series License numbers 7 and 24 (preferred)
- Familiarity with SEC, CFTC, and SRO regulations applicable to broker dealers
- Strong attention to detail and effective communication skills (oral and written)
- Experience with regulatory requests for information, audits, examinations, and investigations.
- Strong interpersonal, organizational, problem-solving, and time management skills
- Understanding of proprietary trading and market making business models
- Ability to work independently as well as with others in a small team
- Ability to convey complex ideas or concepts clearly; evaluate documents and proofread/edit for structure
- Highly proficient in MS Office suite products
- Extra Credit: Python Knowledge, experience with relational databases (i.e.: SQL, VBA, Access)
We are at the core a trading firm, however we value trading and technology equally and we believe that cooperation between traders and technologists is one of our great strengths. This is also reflected in our organizational and remuneration policies. We believe in fostering a truly flat environment in which great ideas can be recognized as well as put into practice from anybody within our organization
WHO WE ARE:
IMC Financial Markets is among the world’s leading proprietary trading firms, and a market maker in securities listed on exchanges across the globe. Our cutting-edge technology drives everything we do. High performance algorithms, smart strategies and collaborative teams are the core of our business.
Today, IMC Financial Markets is 500+ people working together to build software and trade financial products in our offices in Amsterdam, Chicago and Sydney. What does this mean for you? The chance to join a multi-national, multi-cultural team of exceptional individuals, focused on making IMC the world’s best trading firm.