CTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our fun and trusting culture inspires us to solve the industry’s most challenging problems and take calculated risks in a collaborative environment.
We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence. We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong. Started in 1995 by a team of forward-thinking Traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.
We are looking for a Compliance Associate to add to our Chicago based team. As a Compliance Associate, you will be part of a Compliance team, assisting with the implementation and administration of the firm’s compliance program. You will be responsible for the organization and control of the day-to-day registration and membership process for our broker-dealer and other affiliated businesses. This position will provide exposure to many different aspects of the Firm’s regulatory requirements creating an excellent opportunity within a growing company. The Compliance Associate will work closely with experienced compliance professionals and report to the Chief Compliance Officer.
What You’ll Do
• Assist with the day-to-day implementation and execution of the Firm’s Compliance program.
• Actively interact and communicate with all levels of CTC staff, management and external exchange personnel regarding membership, registration, and compliance related requirements/matters.
• Assist with the Compliance requirements for new employee orientation and onboarding.
• Manage and track all exchange seats and other forms of trading membership access across numerous exchanges.
• Maintain accurate/current registration information with exchanges and, when appropriate, with FINRA-WebCRD.
• Perform reviews of firm generated electronic communications.
• Prepare and submit periodic regulatory reports.
• Assist with reviews, updates and maintenance of the Firm’s various compliance manuals and policies.
• Candidate should have 1-3 years compliance related work experience, preferably for a financial institution such as a securities/futures/commodities firm, broker-dealer/clearing firm/investment adviser, etc.
• Good team player; high integrity and professional standards.
• Positive attitude, superior work ethic, self-starter, strong problem-solving skills, and ability to adapt to change.
• Good verbal and written communication skills in English; demonstrated experience effectively communicating across all levels of an organization.
• Ability to prioritize and multi-task effectively under pressure is essential; excellent organizational and time management skills.
• Proficient in all Microsoft products.
Bachelor’s Degree or above.
We strongly believe in the well-being of our employees and their families so we offer outstanding benefits to support you both professionally and personally. These benefits include generous medical coverage, paid parental leave, free breakfast and lunch (plus healthy snacks, of course), wellness reimbursement, quarterly recharge days, and a variety of other benefits focused on providing the best employee experience.
Our Commitment to Diversity, Equity and Inclusion
At CTC, we aim to cultivate a workplace that celebrates diversity and each person feels included, engaged and empowered. Where each of us feels we belong. We are committed to having a diverse workforce and are proud to be an equal opportunity employer. CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment.
If you have a disability and believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us at email@example.com. Note that emails sent to this email account for non-disability related issues, such as following up on an application, will not receive a response.