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Chief Compliance Officer at Edgehog Trading
Chicago, Illinois, United States -
Full Time

Start Date

Immediate

Expiry Date

18 Jan, 26

Salary

0.0

Posted On

20 Oct, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

No

Skills

Compliance, Regulatory Guidance, Trading Activity, Risk Policies, Analytical Skills, Trade Surveillance Tools, Regulatory Reporting Systems, KYC, SEC Rules, FINRA Regulations, Internal Compliance Policies, Trading Patterns, Relationship Management, Financial Institutions, Options Market Maker, Broker Dealer

Industry

Financial Services

Description
What you'll do: Oversee trading activity to ensure compliance with federal securities laws, FINRA regulations, and internal risk policies. Serve as a trusted compliance partner to internal teams by offering regulatory guidance and interpreting relevant laws, rules, and exchange requirements. Draft, review, and implement internal compliance policies, with a strong focus on those governing trading activity. Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks. Cultivate productive relationships with regulatory bodies and other external stakeholders. Qualifications and skills: Previous experience (1-4 years) in a compliance or regulatory role at an options market maker, bank, broker dealer, or similarly regulated financial institution. BS/MS/BA degree in Finance, Accounting, Business, Law, or a related field. Series 24 license, or willingness to acquire the Series 24 in an expedited manner. Familiarity with SEC and FINRA rules and regulations, particularly in areas such as KYC, trading activity, and trade reporting. Hands-on experience with compliance technologies, including trade surveillance tools and regulatory reporting systems. Strong analytical skills with the ability to work effectively in a cross-functional environment.
Responsibilities
Oversee trading activity to ensure compliance with federal securities laws and regulations. Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks.