Career Description
Simplex is looking for a new team member for our compliance team, a Compliance Analyst! As a member of the team, you will work to ensure Simplex complies with the industry's laws and regulations. One of the most fun aspects of the job is how closely you will interact with all teams within the organization and achieve a high-level understanding of how the business operates. We strive to create strong teams with strong individuals. You will learn a lot from your peers and continue developing your skills and business knowledge as the company grows.
Our employees are truly our greatest asset. We've spent years building our team of talented and dedicated technologists, data-driven traders and leaders who emulate our core values: Collaboration, Ethics & Risk Management, and Diverse Opinions & Experience.
What will you be doing?
- Partner with our new employees to assist in the registration processes, compliance onboarding and Exchange membership documentation and applications
- Support control documentation, business procedure development and proper governance as mandated by regulatory guidelines
- Support the process to effectively communicate changes, implement proper controls, and create best practices
- Maintain legal and regulatory compliance by proactively monitoring, and/or researching external regulation changes and trends
- Surveillance Management
- Maintain, and review daily surveillance reports ensuring quality of data, report concerns, document irregularities and communicate issues to department leaders,
- Monitor real-time alerts and issues, as well as trading desk activity
- Respond to regular inquiries through preparing and providing requested information and documentation
- Work closely with the CCO and Compliance Officer to conduct regular internal compliance audits to ensure adherence to internal policies and external regulations as well as assist in external compliance audits
- Other opportunities as assigned
Skills and Experience:
3+ years working in a compliance facing role, in the financial industry
Familiarity with trade and regulatory monitoring reports
Ability to translate regulatory requirements and changes into policy and communications
Series 7 or 57 a plus however not required; candidate may be asked to obtain Series 7 or 57 within 6 months - 1 year of employment.
Why us?
Founded in Chicago in 2004, Simplex is a leading, technology-driven, proprietary trading firm. We work with the most advanced technology and software in the market, and we've continued to remain at the forefront of the industry by always focusing on innovation, automation, and data-driven analysis. We also leverage our experience and expertise to make strategic investments and capitalize on opportunities in the venture capital markets with promising, early-stage financial and technology start-ups.
PLUS, the goods!
- Benefits: Excellent a la carte medical coverage ( Free employee coverage) , Dental, Vision, 401(k) match, and generous parental leave!
- The Office: The kitchen is stocked with snacks, and beverages; you also have daily stipends for breakfast and lunch!
- Tuition Reimbursement: As an investment in our employees' careers and the company's future, we offer educational assistance to provide employees with professional development opportunities that increase their skills and enhance their contributions to the organization!
- Employee Discounts: To gyms, national brands, and more!
- Building: We are located in the Federal Reserve building. As a tenant you have access to a building gym and a full cafeteria. We are easily accessible to all public transportation.
- Charity Match: We match up to $2000 a year in donations to the charities of your choice!
Simplex is an Equal Opportunity Employer