Global Head of Compliance at ThinkMarkets

| Chicago
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ThinkMarkets is a global online brokerage firm, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we allow our clients to trade the world 24-hours a day. Our mission is to disrupt the brokerage industry by allowing access to global markets and thousands of products to allow our clients to trade the world in the palm of their handWe use the latest technologies to give traders seamlesaccess to our proprietary trading platforms. Our Chicago office is in the heart of the financial district in the Loop, and is made up by our Leadership, IT, Analytics, and R&D teams.  

We are seeking a Global Head of Compliance to lead and direct our global compliance department. They will ensure that our business meets the standards set by the various securities governing bodies, that the global team of Compliance Officers are given clear direction, and that the compliance standards are met on all levels throughout our global marketplace. The Global Head of Compliance will provide stakeholders and the executive committee with strategic, regulatory, and governance advice based on the regulations set by these governing bodies and previous experiences.

This role will be directly involved in evaluating, developing, and maintaining our Compliance Management framework to ensure that the firm remains compliant with all applicable financial services regulations. This individual will work closely with the global compliance team, legal, and risk management staff to implement their strategic vision within the working guidelines of our business structure and the financial services regulatory bodies.

Responsibilities:

  • Manage and lead a team of global Compliance Officers
  • Monitor global regulatory reforms and industry developments, and respond to changes by way of implementing policies, processes, and associated employee training
  • Ongoing development, implementation, and maintenance of our compliance monitoring programs and systems, to ensure the practical embedding of compliance within our business operations
  • Work closely with the General Counsel regarding legal matters and legal strategic planning
  • Identify and analyze all compliance obligations (existing and new) that impact ThinkMarkets’ operations, seeking expert legal advice where required
  • Manage relationships with financial regulatory bodies such as FCA, FINRA, ASIC, along with the external compliance consultants and partners, as needed
  • Work with the global risk team to run risk assessments on any unusual activities and potential compliance issues
  • Develop and maintain a risk measurement framework, related metrics, and reports
  • Lead the delivery of regulatory training and other programs as necessary to educate employees of their obligations under relevant policies, procedures, laws, and regulations
  • Advise the business on the appropriate application of compliance related policies and procedures
  • Review and sign-off on marketing and sales promotional materials including  items such as technical literature, telesales scripts, and website updates
  • Prepare compliance reports for management, the Compliance Committee, and the Board

Requirements:

  • Bachelor’s or Master’s degree in Finance, Legal, or a related field
  • Minimum 7 years’ post qualification experience in a Financial Services environment fulfilling senior compliance and regulatory roles, including previous appointment to a Director-level compliance function
  • Experience working directly with ASX as well as UK and APAC compliance regulatory bodies 
  • Series 7 or Series 24 license required
  • Strong working market knowledge of Equities, Options, and FX
  • Profound working knowledge of financial services regulations
  • Experience in planning of operational risk, financial stress testing and working closely with the board on ongoing risk assessments 
  • Sound knowledge of the Anti-Money Laundering regimes and Data Protection regulations
  • Solid working experience with corporate governance matters and securities law
  • Proven experience in balancing commercial considerations with reputation, legal and compliance risk
  • Experience in managing international transactions and contract relationships
  • Excellent communication skills and a high degree of professional ethics and integrity
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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
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    • KenticoCMS

Location

We are in the financial district of the city, located in the UBS Tower. We welcome others who would like to master the latest in tech with us.

An Insider's view of ThinkMarkets

What’s the vibe like in the office?

We're definitely a hardworking bunch, and we're very passionate about what we do. The culture is dynamic and collaborative, and there's always something to work on which helps the day fly by!

Ashley

Executive Assistant to the CEO

What does your typical day look like?

We start the day with a web call summarizing portfolio risks, exposures & order flow with our teams in Dubai & London. We track, measure, & report any trade issues with our clients; we’re always aware of changes in the risk profile of the firm portfolio. We're constantly checking on pricing, liquidity & execution across all our product offerings.

Pat

Head of Options

What makes someone successful on your team?

Above all, having passion for what you do will make an individual successful in any position! Specifically here at ThinkMarkets, we value a collaborative and innovative mindset to make our team run the most efficiently.

Theresa

Human Resources Associate

How do your team's ideas influence the company's direction?

At ThinkMarkets, ideation that challenges the norm and status quo is embraced! We prioritize growth and innovation to drive the business forward. As a Marketing Team, our mission is to bring the brand personality to life across the globe with a lean methodology that enables ThinkMarkets to proactively and constantly drive progress and efficiency.

Rich

Head of Performance Marketing

What projects are you most excited about?

It's amazing to design a web-based trading platform, providing users with the most effortless and exciting trading experience! I enjoy collaborating with a team of professional and smart co-workers, whose expertise in different domains solve user problems, fuel creativity, gain industry value, and shoot for more exciting outcomes for the company!

Athens

UI/UX Designer

What are ThinkMarkets Perks + Benefits

Culture
Friends outside of work
Eat lunch together
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Highly diverse management team
Mean gender pay gap below 10%
Health Insurance & Wellness Benefits
Dental Benefits
Health Insurance Benefits
Wellness Programs
Retirement & Stock Options Benefits
401(K)
Performance Bonus
Vacation & Time Off Benefits
Generous PTO
Paid Holidays
Paid Sick Days
Perks & Discounts
Commuter Benefits
ThinkMarkets covers up to 85% of transit costs and the remaining balance can be deducted from paychecks pre-tax.
Stocked Kitchen
We have an espresso and coffee machine, tea, and snacks stocked in our kitchen!
Some Meals Provided
Free lunch catered in on Fridays!
Fitness Subsidies
ThinkMarkets provides $65 a month to each employee to use towards gym memberships or classes (yoga, barre, kick-boxing, etc.) to promote a healthy lifestyle!
Professional Development Benefits
Promote from within
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