Compliance Officer – Delta1 Specialist

1 Month ago • 5 Years + • $145,000 PA - $185,000 PA

Job Summary

Job Description

The Compliance Officer at IMC ensures compliance with US laws and regulations for trading US financial products, focusing on Delta1 products. The role involves partnering with the Compliance team to drive regulatory vision, promoting compliance culture, and acting as a liaison. Responsibilities include monitoring trading activity, maintaining documentation, investigating compliance issues, assisting with onboarding and registrations, providing training, developing policies, advising on risks, and monitoring regulatory changes. The role offers growth opportunities within the Compliance team. The officer should have experience working at a proprietary trading firm or market maker.
Must have:
  • 5+ years of US regulatory compliance experience.
  • Bachelor's degree required, advanced degree preferred.
  • FINRA Series License SIE and 57 within 1 year.
  • Strong interpersonal and organizational skills.
  • Analytical skills to interpret complex regulations.
  • Knowledge of the US financial industry.
Good to have:
  • Experience at a proprietary trading firm.
  • Any FINRA Licenses are a plus.
  • Familiarity with SEC, CFTC regulations.
  • Experience with regulatory reporting systems.
  • Experience with audits, examinations, and investigations.

Job Details

The Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC’s US operations. The role requires a specialized understanding of US regulatory frameworks regarding Delta1 products.  This role will report directly to IMC’s US Chief Compliance Officer.  The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.

Your Core Responsibilities:

  • Partner with Compliance team to drive IMC’s regulatory vision and compliance efforts.
  • Promote the Firm’s Compliance culture, awareness of regulatory requirements, and best practices.
  • Act as the primary liaison between US Compliance team and the Firm.
  • Monitor trading activity using the Firm’s in-house surveillance systems.
  • Maintain detailed, accurate, and organized documentation of the execution of the Firm’s processes and procedures.
  • Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.
  • Assist in onboarding new personnel and managing various SRO registration processes.
  • Provide specialized training for employees on US regulatory standards.
  • Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.
  • Advise trading and technology personnel on potential US compliance risks.
  • Monitor for and assess new or proposed changes in US regulations and enforcement actions.
  • Collaborate with compliance teams in other regions where applicable.

Your Skills and Experience: 

  • Bachelor’s degree; Advanced degree preferred.
  • Proven experience (5+ years) in US regulatory compliance, with experience working at a proprietary trading firm or market maker strongly preferred.
  • FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
  • Strong interpersonal, organizational, problem-solving, and time-management skills.
  • Sophisticated analytical skills and ability to interpret complex regulatory frameworks.
  • High level of integrity and discretion when handling sensitive and confidential information.
  • US financial industry business knowledge and interest in the US regulatory environment.
  • Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.
  • Strong attention to detail; Eager to learn, ask questions, and admit mistakes.
  • Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers. e., RegSHO, RegNMS
  • Familiarity with regulatory reporting including Trace, CAT, TRF, or other regulatory audit trails.
  • Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.
  • Proactive and reliable, with the ability to work independently as well as with others in a small team.

Please note that immigration sponsorship is not offered for this specific opening.

Similar Jobs

appier - Staff/Senior Software Engineer, Machine Learning Platform (Ad Cloud)

appier

Taipei City, Taiwan (On-Site)
1 Month ago
Riot Games - Game Designer, Level Design - R&D

Riot Games

Shanghai, Shanghai, China (On-Site)
2 Months ago
Token Metrics - Crypto Product Manager

Token Metrics

Ho Chi Minh City, Ho Chi Minh City, Vietnam (Remote)
2 Years ago
Cognite - Industry Transformation Director - Oil & Gas, Chemical Manufacturing and Energy Sectors

Cognite

Houston, Texas, United States (Hybrid)
4 Months ago
Nice - Senior Professional Services Engineer, Actimize

Nice

Hoboken, New Jersey, United States (Hybrid)
2 Weeks ago

Get notifed when new similar jobs are uploaded

Similar Skill Jobs

Pokemon - Sr. Supply Chain Systems Analyst

Pokemon

Bellevue, Washington, United States (Hybrid)
1 Month ago
room8 - Project Art Director

room8

Argentina (On-Site)
5 Months ago
Brillio - Product Manager with Aruba

Brillio

Bernards, New Jersey, United States (Hybrid)
2 Weeks ago
Bungie - Principal Communications Manager

Bungie

(Hybrid)
6 Months ago
quience - Recruiting Coordinator

quience

United States (Remote)
1 Month ago
Internet Brands - Associate Client Executive

Internet Brands

Eagan, Minnesota, United States (Hybrid)
1 Month ago
Philips - Sr Product Sales

Philips

Guangzhou, Guangdong Province, China (On-Site)
1 Month ago
Scout - Engineer, Steering

Scout

Novi, Michigan, United States (On-Site)
2 Months ago
Riot Games - Senior Manager, Technical Game Design

Riot Games

Los Angeles, California, United States (On-Site)
2 Months ago
Qualcomm - DSP Tools Automation Engineer (With expertise in Python and GIT)

Qualcomm

Bengaluru, Karnataka, India (On-Site)
1 Month ago

Get notifed when new similar jobs are uploaded

Jobs in Chicago, Illinois, United States

Philips - Sales, Account Executive

Philips

Allentown, Pennsylvania, United States (On-Site)
1 Month ago
bytedance - Technical Project Management Lead - Edge Cloud Infrastructure - San Jose / Seattle / Boston

bytedance

Seattle, Washington, United States (On-Site)
8 Months ago
Epic Games - Test Lead

Epic Games

Cary, North Carolina, United States (On-Site)
5 Months ago
Anavation - Program Manager

Anavation

Clarksburg, West Virginia, United States (On-Site)
3 Weeks ago
bytedance - Research Scientist, Data Management and Security

bytedance

San Jose, California, United States (On-Site)
3 Months ago
Synechron - Enterprise Architect

Synechron

Dallas, Texas, United States (On-Site)
1 Month ago
Domo - Technical Adoption Engineer (ACE)

Domo

American Fork, Utah, United States (On-Site)
2 Months ago
Rockstar Games - Product Designer

Rockstar Games

New York, United States (On-Site)
1 Month ago
PayPal - Sr. Director of Product - SmartWallet

PayPal

San Jose, California, United States (Hybrid)
1 Month ago
Light Speed Studios - Senior Sound Designer

Light Speed Studios

Irvine, California, United States (On-Site)
4 Months ago

Get notifed when new similar jobs are uploaded

Similar Category Jobs

Looks like we're out of matches

Set up an alert and we'll send you similar jobs the moment they appear!

About The Company

Chicago, Illinois, United States (On-Site)

Sydney, New South Wales, Australia (On-Site)

Amsterdam, North Holland, Netherlands (On-Site)

Mumbai, Maharashtra, India (On-Site)

Sydney, New South Wales, Australia (On-Site)

Sydney, New South Wales, Australia (On-Site)

London, England, United Kingdom (On-Site)

Mumbai, Maharashtra, India (On-Site)

New York, United States (On-Site)

Sydney, New South Wales, Australia (On-Site)

View All Jobs

Get notified when new jobs are added by IMC

Level Up Your Career in Game Development!

Transform Your Passion into Profession with Our Comprehensive Courses for Aspiring Game Developers.

Job Common Plug