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 Technology Compliance Manager (TCM) has primary accountability for CTC’s global electronic trading regulatory requirements and systems controls. The primary objective of the TCM is to actively engage in the Firm’s system development to ensure that CTC employs all reasonable measures to adhere to regulatory requirements and system control obligations. This position will report to the Chief Compliance Officer.
- Establish efficient processes and workflows, as well as, design and establish policies and standards around Technology Controls related to new systems and processes, monitoring compliance with these policies and standards.
- Evaluate existing Technology Controls, identify opportunities, design a holistic remediation program to close any existing or potential gaps. Assess regulatory risks in connection with CTC’s systems and propose controls to eliminate or mitigate those risks.
- Liaise with Technology Teams, Operations Teams and potentially external firms (exchanges, third party market access)
- Coordinate with and direct Technology teams on proper and timely execution of controls initiatives
- Designing smarter, higher-level regulatory controls that eliminate redundancies and enhance audibility
- Coordinate with Compliance in response to any reviews, investigations or audits
- Participate in prioritization meetings to ensure regulation is appropriately incorporated
- Ensure completion of After-Action Reviews of any regulatory issues
- Ensure regulation is appropriately incorporated from day one on new projects/products
- Advise Sr Management on Technology Controls
- Design scorecards, metrics and reporting to support continuous compliance monitoring
- Perform periodic gap assessments to validate and ensure ongoing compliance with Technology Controls, 15c3-5
- Seek and engage in opportunities to progress a culture of electronic trading regulatory awareness at CTC, building and maintaining strong, effective partnerships with technologists across the firm
- Keep abreast of system infrastructure and functionality to be able to assess regulatory risk and best contribute to the ongoing next-generation Electronic Trading program
- Self-motivated and inquisitive mindset
- Drive to analyze, prioritize, and solve difficult problems
- High level of communication skills and ability to bridge knowledge gaps between trading, regulation and technology
- Strong focus on accuracy and attention to detail
- Able to quickly learn, retain, and apply information to their day-to-day work
- Solid user-level understanding of CTC systems and trading workflows
- Understanding of exchange technologies
- Experience/understanding of SEC, CFTC and exchange regulation/compliance requirements
- Licensed Series 57 and 24 (Series 24 can be obtained after hire)
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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