Compliance Department Operations Manager
Responsibilities:
- Primary liaison with IT to develop and enhance necessary regulatory reports by providing rule specifications and input on development. Examples include SEC large trader, enhanced blue sheet, large option positions, CFTC large trader and open interest reports.
- Supervise the filing of reports within Compliance and test and validate regulatory reports sent by other departments.
- Follow up on issues or enhancements needed to existing reports.
- Act as primary compliance officer for any new initiatives and business lines.
Requirements:
- Minimum 5 years working experience in equity/options and futures
- Strong finance or operational background preferred
- Supervisory experience preferred
- Bachelor’s Degree in related field
Great opportunity to work for a dynamic, fast paced international brokerage firm. Great benefit package including generous PTO (Paid Time Off) package, 401k plan, education assistance, annual bonus and more. Nice office environment, conveniently located close to trains. Please email resume to our Human Resources Consultant.
PARKWAY CONSULTING
pat@parkwayconsulting.com
About Parkway Consulting
Parkway Consulting is a Chicago-based human resources consulting firm, with a broad client base encompassing the financial services industry (including asset classes in futures, equities, options), FCM’s. Broker Dealers, proprietary trading, venture capital, and exchanges.
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