Chicago Trading Company (CTC) helps the world price and manage risk. We pride ourselves on our strong values, our entrepreneurial spirit, and our commitment to doing the right thing. Our culture is highly collaborative across traders, quants, technologists, and development teams who work together to solve the toughest problems our markets have to offer. We strive to make a positive impact on our industry, the lives of our employees, and the communities to which we belong.
The Compliance Associate will focus on managing the registration and membership process for our broker-dealer and other affiliated businesses. In addition, the Compliance Associate will assist with the implementation and administration of an effective compliance program, as well as general administration. Responsibilities will include documenting, maintaining, implementing and overseeing the necessary and diverse compliance policies and procedures. The candidate will report to the Chief Compliance Officer.
- Manage and track all exchange seats and other forms of trading access across CME Group, CBOE, ISE, PHLX and NYSE Euronext.
- 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.
- Assist with the administration of vendor software system utilized by the Firm to manage compliance manual and policy acknowledgements, attestations, personal trading pre-clearance requests and approvals, insider trading reviews, and other matters.
- Process supervisory acknowledgements of certain policies and procedures.
- Conduct surveillance of trading activities and enhance as appropriate; forecast surveillance requirements, needs and wants; document surveillance technical requirements.
- Assist with ongoing reviews of businesses and supervisory tasks.
- Candidate should have 1-3 years in a compliance function, preferably for a securities broker-dealer and/or investment adviser.
- Positive attitude, superior work ethic, self-starter, strong problem-solving skills, and ability to adapt to change.
- Demonstrated ability to take initiative and critically analyze processes and procedures for efficiency and improvement.
- Exceptional verbal and written communication skills; ability to communicate at all levels.
- Proactive individual with strong deadline and extraordinary attention to detail orientation.
- Ability to prioritize and multi-task effectively under pressure is essential; excellent organizational and time management skills.
- Proficient in all Microsoft products.
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. We are an equal opportunity employer and consider qualified applicants without regard to race, color, religion, national origin, age, marital status, veteran status, gender expression or identity, sexual orientation, disability, citizenship, or any other legally protected class.
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