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SalaryCTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our fun and trusting culture inspires us to solve the industry’s most challenging problems and take calculated risks in a collaborative environment.
We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence. We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong. Started in 1995 by a team of forward-thinking Traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.
CTC is looking for a Deputy Chief Compliance Officer with not only a strong background in financial services regulation, but who is a partner to the business, helping to unlock opportunities and protecting the Firm through a top-tier compliance program. The candidate must be an innovative, creative problem solver who can anticipate challenges, identify trends and risks, and advise accordingly. This position requires an understanding of the current legal and regulatory landscape in both the U.S. and foreign jurisdictions. The Deputy Chief Compliance Officer will be a leadership role within the CTC compliance team, providing regulatory training, education, and advice regarding financial services regulation to the Firm. Reporting to the Chief Compliance Officer, you will administer a wide variety of responsibilities that support the Firm’s global compliance efforts and trading businesses.
What You will Do
- Preside over various components of the Firm’s compliance processes, assuming a leadership role in the continued development, implementation, and enforcement of the Firm’s regulatory program.
- Develop structures and methodologies designed to ensure compliance with the applicable laws and regulations in multiple jurisdictions while facilitating business activities, priorities, and trading strategies.
- Engage and connect with Firm leadership regarding regulatory obligations/requirements for new and ongoing business initiatives.
- Proactively search and review regulatory findings, rule proposals/amendments and other industry information that could impact CTC’s business initiatives.
- Partner with the CCO on the management and professional development of compliance staff.
- Actively engage in the remediation/resolution of both internal and external compliance related matters and inquiries.
- Liaise with exchange, FINRA and Federal regulatory staff; oversee the coordination of regulatory exams and audits.
- Draft and update compliance policies and procedures.
- Facilitate rule interpretation, continuing education and best business practices through accurate communication and training.
What We Are Looking For:
- 10 or more years of managerial level compliance experience, directly supporting a professional trading business.
- A creative problem solver, who can speak truth to leaders and give options
- Solid understanding of open outcry and electronic trading venues and workflows.
- Extensive experience navigating financial regulations and managing regulatory inquiries.
- Ability to establish and cultivate productive working relationships with internal teams and leaders, exchange staff, regulatory personnel, and external business partners.
- Exceptional analytical and critical thinking skills necessary to regularly assess potential regulatory issues and determine the efficiency of control systems and recommend effective improvements.
- Series 14 or 24
Our Benefits
We strongly believe in the well-being of our employees and their families so we offer outstanding benefits to support you both professionally and personally. These benefits include generous medical coverage, paid parental leave, free breakfast and lunch (plus healthy snacks, of course), wellness reimbursement, quarterly recharge days, and a variety of other benefits focused on providing the best employee experience.
Our Commitment to Diversity, Equity and Inclusion
At CTC, we aim to cultivate a workplace that celebrates diversity and each person feels included, engaged and empowered. Where each of us feels we belong. We are committed to having a diverse workforce and are proud to be an equal opportunity employer. CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment.
If you have a disability and believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us at info@chicagotrading.com. Note that emails sent to this email account for non-disability related issues, such as following up on an application, will not receive a response.
