Senior Compliance Officer
WHO WE ARE AND WHAT WE DO
IMC is a leading global market maker, using algorithmic trading and advanced technology to buy and sell securities on multiple trading venues worldwide. We provide liquidity to the financial markets, driving efficiencies for buyers and sellers.
Founded in 1989, we are an ambitious, innovative company and identified early on the importance technology would play in the fast-paced evolution of trading. This entrepreneurial spirit still drives us today and can be found in all of our offices around the world.
We now operate globally from offices in Europe, the US and Asia Pacific. Our employees work closely together in multidisciplinary teams, making our success possible.
Technology - At IMC, technology is not a department, it is at the heart of everything we do. Our technologists push the limits of possibility, and then look beyond. In our fast-paced environment, short feedback loops mean projects worked on in the morning can enter production the next day.
Trading – Although our traders come from many backgrounds they all have one thing in common: they are at their best solving complex problems. Their insight into global events, market shifts and pricing ensure we are trading in the right place, at the right time.
Business Support - Around the world, IMC’s business support teams are essential for sustaining our success. In our dynamic environment, we have many exciting challenges and multidisciplinary opportunities to shape our operations and make a real impact.
Our employees are our greatest asset so we give them lots of responsibility and the support they need to make a difference. Our flat structure fosters a culture of openness and collaboration, encouraging the sharing of ideas and knowledge. It makes no difference if you have been with us for three days or three years, the best idea wins.
While we work hard, we also have a lot of fun; whether solving complex challenges or in team building, leisure and sporting activities. IMC also enables its employees to contribute towards a better society through our foundation.
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)
OUR HIRING PROCESS
To set you up for success, you can find our hiring process including tips on applying and interviewing with us on our website. Now it’s up to you! Apply today to start an amazing journey with IMC.