Belvedere Trading

Senior Compliance Officer

Posted 3 Days Ago

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Chicago, IL

Hybrid

150K-190K Annually

Expert/Leader

Fintech • Information Technology • Other • Software • Financial Services

At Belvedere, we cultivate the best of trading by creating cutting-edge technology and forging unique paths in culture.

The Role

The Senior Compliance Officer will provide strategic compliance guidance, conduct compliance reviews, and establish efficient compliance processes while promoting a culture of compliance within the firm.

Summary Generated by Built In

Belvedere Trading is a leading proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities, interest rates, exchange-traded funds (ETF), and equity index options. From the beginning, we began iteratively investing in our proprietary technology and committing to building our systems from the ground up. Our trading models and software systems are continually re-engineered, optimized, and maintained to stay on top of the industry.

Our Business department is comprised of several key teams who work to ensure that Belvedere is operating at the highest level. We look for passionate team members that excel and their contribution is critical to our continued success. Our Business Teams build and manage processes that strive to improve all facets of the company. Whether it’s human or financial capital, our goal is to drive productivity while enhancing Team Belvedere’s experience.

We are looking for a Senior Compliance Officer to join the Compliance team. This individual will report to the Chief Compliance Officer and work closely to build a more efficient and scalable Compliance program.

What you'll do

Provide strategic regulatory compliance guidance to the firm’s business lines and leadership team.
Suggest pragmatic, scalable, and automated compliance solutions for new or existing business initiatives.
Conduct comprehensive internal compliance reviews to identify potential operational gaps or inefficiencies and develop strategic and scalable solutions.
Periodically review the firm’s supervisory procedures for relevance, adequacy, and effectiveness.
Keep abreast of regulatory developments, including rulemaking by the firm’s regulators and self-regulatory organizations.
Promote a culture of compliance throughout the firm and accountability by the firm’s registered principals with respect to their supervisory responsibilities.
Administer compliance training to the firm’s employees
Oversee the firm’s engagement and response to regulatory examinations, audits, and inquiries.
Oversee the firm’s FINRA CAT compliance and work with the teams responsible for daily reporting.
Draft and update policies and procedures to conform to new regulations.
Draft desktop procedures for a variety of Compliance functions.

What you'll need

10+ years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization.
Deep expertise in broker-dealer and commodities trading laws and regulations and their applicability to large proprietary trading firms.
Experience with FINRA CAT daily reporting.
Experience with designing, implementing, and reviewing regulatory surveillance.
Experience identifying compliance process inefficiencies and implementing technical-based solutions.
Demonstrate initiative and an ability to identify, prevent, and mitigate regulatory risks.
Be an independent leader on projects that improve our trading operations management.
FINRA Series 57 and 24 preferred.
Bachelor’s Degree required and Masters Degree preferred.
Intermediate data query skills, such as SQL
Proficiency in Excel and data analysis

Women and underrepresented groups frequently apply to jobs only if they meet 100% of the qualifications. We encourage you to break that mold and apply. No candidate is perfect; all have a lot to offer. We welcome your application.

Core Values

The secret to our award-winning culture is our Core Values: Team Belvedere, Me In Team, Own It, Build Rockets, and Passionate Discourse. We live and breathe these values every day.

Our Stance

Belvedere is an Equal Opportunity Employer and is committed to providing a non-discriminatory employment environment for its employees. Discrimination against employees and applicants due to race, color, religion, sex, national origin, disability, age, military, and veteran status is prohibited. Belvedere encourages initiatives to increase diversity and provide equal opportunity to all applicants and employees. Belvedere is committed to providing a positive environment in which team members are treated with respect, dignity, and courtesy. Our firm believes in a dynamic culture of inclusion and diversity, where people thrive on individual and organizational characteristics, values, experiences, and backgrounds.

Please note that Belvedere Trading does not accept unsolicited resumes from search firms or employment agencies. Any unsolicited resumes will become the property of Team Belvedere. No phone calls, please.

Any questions regarding the virtual recruiting process, please reach out to [email protected].

Work Schedule: Regular and reliable attendance during standard business hours

Amount of Travel Required: None

Sponsorship: Not available for this position

Top Skills

Excel

SQL

What the Team is Saying

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The Company

HQ: Chicago, IL

265 Employees

Year Founded: 2002

What We Do

In March of 2002, Belvedere Trading emerged as Chicago’s newest market maker, soon to join the ranks of the Windy City’s elite proprietary trading firms. Armed with printouts of Excel workbooks and a team of eager minds, Belvedere established their place in the SPX pit on the floor of the Chicago Board Options Exchange. From the beginning, we have iteratively invested in our proprietary technology and made a commitment to building our software systems from the ground up. Due to our ultramodern proprietary technology and risk management capabilities, Belvedere is able to quickly capitalize on inefficiencies in the marketplace. Our trading models and software systems are continually re-engineered, optimized, and maintained to stay on top of the industry. Building and nurturing a strong culture is one of Belvedere’s highest priorities, and we are always looking for the best and brightest talent to help us in our continued success.

Why Work With Us

At Belvedere, our differences are what allow us to compete and succeed at the highest level. Our Culture Committee and Women’s Initiative elevate the voices of our teammates to further promote an inclusive workplace. It is our priority to foster a sense of community and belonging for each team member while supporting individual development.