Compliance Surveillance Officer
Well established Chicago bank-owned international futures, equities, and options clearing brokerage firm is looking for a Compliance Surveillance Officer. The surveillance office is responsible for investigating and following up on any incidents derived from the SMARTS surveillance system, responding to regulatory requests and assisting Market Access withy any development. This position will report jointly to Equities Chief Compliance Officer and Futures Chief Compliance Officer.
Responsibilities:
- Liaising with customers’ compliance officers in resolving inquiries
- Working with Market Access in enhancing existing procedures and responding to new regulations
- Responding to regulatory inquiries related to market access
Requirements:
- Bachelor’s Degree in related field
- Minimum 3 years working experience in equity/options and/or futures preferably at an exchange
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.
Leave a Reply
You must be logged in to post a comment.