Technology Compliance Analyst

Play an integral role in being a resource between the compliance team and the development team. Work with software developers and their product to ensure trading systems comply with industry regulations. This job encompasses project management, resource management and technical analysis.

Responsibilities:
-Serve as liaison between compliance and technology development departments.
-Work closely with developers to facilitate the creation and use of monitoring reports to assist in IT supervision.
-Participate in compliance reviews of development and review of trading algorithms and other technology processes.
-Assist in interpretation and implementation of SEC, FINRA and CFTC and other relevant regulations as they relate to technology and data information.
-Assist in the preparation of regulatory filings, including responses to regulatory inquiries requiring trade data and other data inquiries.
-Assist in the review of activities using automated monitoring systems.

Qualifications:
-Bachelor’s degree in finance or technical field of study.
-2+ years relevant work experience in compliance or 2+ years of relevant IT analyst experience.
-Relevant work experience with futures or equity derivatives.
-Familiarity with systems design and development concepts.
-Strong proficiency working with large data sets utilizing Microsoft Access and Excel.
-Demonstrate proficiency running queries with SQL and VBA is a plus.
-Series 7 and Series 24 registration preferred (candidates must be willing to take exams by request within first few months of employment).

Technology jobs in Chicago, Jobs, Chicago, Technology Compliance Analyst, IT Analyst, Futures, Equities, Derivatives, Series 7, Series 24

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