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Director, Senior Compliance Officer

Chicago Trading Company

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Location:
United States , Chicago

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Category:
Finance

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Contract Type:
Not provided

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Salary:

175000.00 - 220000.00 USD / Year
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Job Description:

CTC invites applications for a Director - Senior Compliance Officer role. Candidates should have strong expertise in securities (listed options, fixed income, equities) and commodities trading to support our compliance division. As the Director - Senior Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm’s global compliance and trading operations, focusing on U.S. trading.

Job Responsibility:

  • Develop, refine, and apply proprietary and external surveillance rules on a variety of topics, including market maker quote compliance, market abuse, and off-channel electronic communications monitoring
  • Supervise Compliance staff responsible for reviewing, dispositioning, and advancing surveillance alerts
  • Draft and update compliance written supervisory procedures, including desktop procedures for Compliance staff
  • Assist the Chief Compliance Officer with designing, documenting, and completing internal control testing plans and collaborate with firm stakeholders to address gaps identified
  • Coordinate and prepare responses to formal investigations and other regulatory inquiries from various U.S. and European regulators, including exchanges, SEC, and FINRA
  • Assist with the management and coordination of regulatory exams and audits
  • Monitor and evaluate the firm’s trade activity using an internal surveillance system that generates reports covering aspects such as market maker obligations and market manipulation
  • Review and summarize proposed regulatory rules for applicability
  • Provide regulatory advice on new business initiatives
  • Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos
  • Liaise and communicate with various teams including trading, technology and operations

Requirements:

  • Bachelor’s degree required, a Law degree is a plus
  • At least 10 years of experience in a compliance function that directly supports a professional trading business, or at least 4 years in a compliance function that supports a professional trading business and 6 additional years in non-compliance roles in financial services
  • Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment
  • Ability to regularly assess the efficiency of control systems and recommend effective improvements
  • Demonstrate a high level of integrity
  • Proactive approach to help identify regulatory risk for the firm
  • Ability to operate effectively in a team environment
  • Solid knowledge of electronic trading, emphasizing listed options and futures
  • Extensive knowledge of SEC, FINRA, CFTC and SRO rules and regulations
  • Establish strong working relationships with exchanges, regulators and vendors
  • Exceptional verbal and written communication skills
  • Strong time management skills with an emphasis on follow-through and completion of projects
  • Legal authorization to work in the U.S. is required

Nice to have:

  • Series 57 and 24
  • Prior securities or commodities trading experience
What we offer:
  • Generous time off
  • Insurance coverage
  • Paid parental leave
  • Free breakfast and lunch
  • Healthy snacks
  • Wellness reimbursement

Additional Information:

Job Posted:
March 21, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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