Maven Securities · 2 months ago
Regulatory and Exchange Compliance Specialist
Chicago
Full-time
Onsite
Senior Level
$170K/yr - $200K/yr
5+ years expMaven Securities Holding Ltd is an established proprietary trading firm focusing on options market-making. They are seeking a Regulatory and Exchange Compliance Specialist to ensure compliance with US regulations and exchange obligations while supporting the firm's growth in US trading activities.
Asset ManagementFinancial ServicesInformation TechnologyIT ManagementRisk Management
Responsibilities
Assist the Head of Compliance (US) in ensuring that the Firm’s US business activities remain compliant at all times
Review, clarify and define the applicability of US regulatory and exchange rules
Provide regulatory advice and guidance to all relevant members of staff and senior management in the context of existing and new business and projects
Facilitate the interpretation of US rules to support the business in ensuring its on-going compliance
Carry-out risk assessments and implement monitoring / reporting as considered necessary
Review pending or proposed changes to US rules to assess impact on the Firm and coordinate the implementation of changes where required
Ensure that written supervisory policies and procedures remain fit for purpose and are implemented in practice
Take a proactive approach in drafting and maintaining policies and procedures as needed
Assist with the management of regulatory exams and audits, including communications with exchanges
Contribute to the preparation of responses to regulatory and exchange enquiries and investigations
Collaborate with the different Trading and non-Trading teams across the Maven Group as required
Assess the Firm’s compliance with applicable US rule-sets and report on findings
Provide recommendations and coordinate the implementation of changes where appropriate
Qualification
Required
At least 5 years of previous financial markets compliance experience in a similar role required, ideally supporting a proprietary trading firm, exchange or a relevant regulator
Bachelor's level (or higher) degree, or equivalent
Strong understanding of US regulatory and exchange rules, particularly as relevant to a proprietary trading firm market making US listed options
Knowledge and experience of relevant regulatory frameworks (such as FINRA, SEC, CFTC) alongside relevant exchange rule / SRO frameworks (including CME Group and CBOE Global Markets). Knowledge related to other venues, such as NASDAQ, is considered beneficial
Experience working directly with (and establishing excellent working relationships with) compliance advisors, regulators and exchanges
Articulate communicator, communicating effectively across all levels of the organisation
Ability to work independently, with judgement to involve management when required
Good organisational skills with the ability to manage multiple projects with competing deadlines
Preferred
Knowledge related to other venues, such as NASDAQ, is considered beneficial
Relevant professional qualifications, such as Series 24 or Series 14 exams, are considered beneficial
Benefits
Medical, Dental, Vision Insurance coverage for employees and their dependents.
401k with employer match.
Short Term Disability, Long Term Disability, and Life Insurance.
Annual learning and development stipend.
Company
Maven Securities
Maven Securities is a market maker and proprietary trading firm.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Ian Toon
Group Chief Executive Officer
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