|Title:||Jr Compliance Associate|
Belvedere Trading is looking for a Jr. Compliance Associate who is interested in gaining exposure to the regulatory functions within the securities industry. The Jr. Compliance Associate will work closely with our Operation and Trading Departments to assist our Compliance Officer in advising, monitoring, and educating the firm to achieve compliance with governmental and self-regulatory rules, regulations, and firm policies.
Who we are:
Belvedere Trading is a leading proprietary trading firm that specializes in equity index and commodity options. We act as market makers helping to provide liquidity to the marketplace while strategically capitalizing on market inefficiencies. We also develop and maintain proprietary, high-performance trading software. Our Technology Department is an innovative environment where we continually develop and optimize our trading platform. We pride ourselves in our ownership of projects, diverse technology experience, and our great relationship with our trading groups.
What our Jr. Compliance Associate does:
Our Jr. Compliance Associate will help monitor our daily business activities, and assist in maintaining and improving surveillance systems to help identify potential regulatory risks. Duties will include research, record-keeping, and continuous communications with multiple exchanges and regulatory authorities.
Specific responsibilities include:
- Investigating, learning and applying applicable exchange and regulatory rules
- Preparing and drafting regulatory correspondence
- Creating, reviewing, and implementing electronic compliance systems to help monitor trading activity
- Helping to review employee records and accounts
- Assisting in conducting new hire orientation and paperwork for compliance
- Maintaining compliance books and records
- Developing knowledge about the firm’s computer systems and trading processes
- Additional clerical duties as assigned
Who we’re looking for:
1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant, or similar organization is ideal. Other acceptable experience includes internal audit, legal, accounting, or similar areas with strong analytical and quantitative skills.
Key qualities in great candidates:
- Must have a Bachelor’s degree.
- Strong attention to detail and effective communication skills (oral and written)
- High degree of flexibility and patience
- Highly proficient in desktop applications and MS Office suite products.
- Bonus: exposure to securities or law. SQL, PERL, or UNIX knowledge.