Senior Compliance Analyst
hrn research capitalOak Park, IL
$100,000–$200,000 per year
APPLY (opens in a new tab)Senior Compliance Analyst
hrn research capitalOak Park, ILSenior L5
$100,000–$200,000 per year
Investment Banking and Securities IntermediationSecurities and Commodity ExchangesMiscellaneous Intermediation
APPLY NOW (opens in a new tab)WHAT WE'RE LOOKING FOR:
We are looking for someone who can operate as a senior compliance partner. A successful candidate should be comfortable moving between regulatory analysis, compliance testing, regulatory examinations, and detailed discussions with engineers and traders. The role is well suited to someone who understands that effective compliance in an automated tradingbusiness requires both strong knowledge of securities regulation and a practical understanding of how trading systems, technology, and operational processes actually work. This position will have significant responsibility and the opportunity to help shape the compliance infrastructure of a growing electronic trading firm.
JOB DESCRIPTION:
Advise the firm on SEC, FINRA, exchange, MSRB, and other applicable securities regulations. Assist with FINRA, SEC, exchange, and other regulatory examinations, inquiries, and information requests. Support the CCO in the day-to-day operation of the firm's compliance program, including regulatory analysis, testing, examinations, policies, WSPs, and regulatory inquiries. Translate regulatory requirements into practical controls for automated and algorithmic trading systems.
QUALIFICATIONS:
Significant experience working with or advising a FINRA-registered broker-dealer. Experience with regulatory examinations and interactions with FINRA, SEC, or exchanges strongly preferred. Experience with electronic trading, proprietary trading, market making, institutional brokerage, or another technology-driven trading business strongly preferred. Familiarity with at least two of equities, fixed income, options, and/or futures markets strongly preferred. Series 24 registration is required. Other relevant registrations are a plus. J.D. is a plus. Must be legally authorized to work in the United States. COMPENSATIONThe anticipated base salary for this position is $100,000–$200,000 per year. Actual compensation will depend on experience, qualifications, and responsibilities. The position is also eligible for a discretionary performance bonus.
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Level
Senior L5
Salary
$100,000–$200,000 per year
Location
Oak Park, IL
Occupation
Compliance Officers
Industry
Investment Banking and Securities Intermediation
Posted
6 days ago