Senior Compliance Analyst

• Ensure that applicable policies and procedures including written supervisory procedures and manuals are comprehensive robust current and reflect the firm's business practices and processes.
• Enhance develop and deploy comprehensive and ongoing compliance and ethics training.
• Manage various firm-wide compliance program requirements including handling and monitoring information barrier issues conflicts of interest restricted trading list and employee disclosures.
• Evaluate and redesign compliance and other department processes and reviews to demonstrate strong internal controls mitigate risk and create efficiencies.
• Conduct comprehensive compliance reviews and risk assessments of business activities practices and controls; identify and mitigate potential areas of compliance vulnerability and risk develop and implement corrective action plans for resolution of problematic issues provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.
• Oversee existing surveillance and enhance as appropriate; establish testing plan; prepare comprehensive management reports of status and progress of surveillance initiatives.
• Conduct email reviews enhance existing email policies practices and assist in managing the compliance portion of email vendor relationships.
• Assist in assessing new and existing vendor solutions and managing vendor changes and service enhancements.
• Assist with maintenance of required books and records.
• Investigate and resolve compliance-related inquiries from employees; ability to seek interpretations and provide guidance on non-routine and often complex matters.
• Assist with compliance training programs for employees to foster awareness and understanding of regulatory requirements.
• Manage FINRA CRD including individual U-4 and U-5 updates.
• Assist in the preparation of regulatory filings including responses to regulatory inquiries.
• Assist other compliance personnel by reviewing and preparing reports and presentations ensuring accuracy and clarity in all documentation.
• Ownership over initiatives that directly solve business problems.

• Minimum 3-5 years of relevant compliance experience ideally within options trading.
• Strong working knowledge of U.S. regulatory rules and interpretations for broker-dealers including but not limited to CBOE SEC and FINRA Rules.
• Effective leadership superior interpersonal and partnership skills and the ability to positively influence outcomes particularly in difficult matters.
• Exceptional verbal and written communication skills; ability to communicate at all levels.
• Highly motivated with capability to work with minimum supervision on a wide range of matters.
• Proactive individual with strong deadline focus and extraordinary attention to detail orientation.
• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.
• Strong project management leadership and general MS Office software application skills.
• Very strong analytical skills (understanding of complex regulatory requirements with ability to apply to supported businesses).
• Series 57 securities license or required to obtain within 60 days.
• Series 24 securities license.
• Experience with FINRA Central Registration Depository (CRD) database.
• Experience with Global Relay and ComplySci platforms is a plus

What We Do

PEAK6 is not your typical investment firm. Here we build and invest in businesses that span from finance and insurance to esports and education — and we're always seeking new opportunities. We're not defined by one industry or market. We activate "what is" into "what ought to be" through world-class technology operational excellence and purposeful design. We're in the business of doing creating and building the world with innovation and democratization in mind. Our team of opportunistic thinkers are generating new ideas while constantly improving refining and activating past ones. At PEAK6 it's not just our investments that make use great but our people that make us valuable.

Why Work With Us

Ordinary doesn't apply here. We look for people who aren’t afraid to take chances who bet on themselves and do it with confidence. People that dream up big ideas and ways to execute them. Epic storytellers nimble problem solvers imaginative entrepreneurs and change-makers are all welcome.

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