Compliance Officer

Our client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.

Role Specifications:

• Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.
• Review the Compliance Monitoring Plan and the controls in place to assess their effectiveness, report on findings and provide recommendations where appropriate.
• Prepare and submit any regulatory filings for the US businesses as required.

Candidate Specifications:

• 1 - 3 years of trading Compliance experience dealing with regulators/trading venues, preferably within a registered Broker Dealer
• Knowledge of US regulation and it's application to Broker Dealers (e.g. SEC Rules, Reg M, etc.)
• Understanding of market making, derivatives, and equity security trading cycles and market structure in general will be a plus

Due to the high volume of applications, if you haven’t heard back from the team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.

About Simmons & Hanbury:

Simmons & Hanbury is a specialist executive search firm that sources and secures the best human capital and future leaders for our clients. We provide an integrated international service to support our clients across the globe, from our group headquarters based in the heart of the City of London. We support some of the most prestigious organisations in the world, across financial services, commerce & industry, and professional services. Our services include executive search and market intelligence within the Legal, Compliance and Corporate Governance practice areas, while our Legal Services division Hanbury Partners provides flexible consultancy arrangements. We facilitate secondments for senior lawyers into in-house legal departments and law firms, and source specialist lawyers for bespoke projects.