DRW is a technology-driven, diversified principal trading firm. We trade our own capital at our own risk, across a broad range of asset classes, instruments and strategies, in financial markets around the world. As the markets have evolved over the past 25 years, so has DRW – maximizing opportunities to include real estate, cryptoassets and venture capital. With over 1,000 employees at our Chicago headquarters and offices around the world, we work together to solve complex problems, challenge consensus and deliver meaningful results. It’s a place of high expectations, deep curiosity and thoughtful collaboration.
As a Compliance Surveillance Analyst, you’ll be responsible for conducting compliance surveillance and monitoring, delivering regular reports on a wide variety of compliance and regulatory matters, and helping develop compliance policies and procedures.
Conduct surveillance, communication and trade execution reviews
Manage daily OATS reporting to FINRA including investigation / correction of errors and reconciliation of front office records
Support trading desks in preparing for new trading venue activity by ensuring the firm meets the relevant regulatory and/or trading venue requirements
Review ongoing trading activity against the relevant regulations including SEC Market Access rule, Dodd-Frank and the Bank Secrecy Act
Contribute to development and management of compliance policies and procedures, including annual reviews and risk assessments
Undertake due diligence on new trading counterparties
Analyze regulatory texts and guidance
Assist in preparing regulatory filings
Research and liaise with compliance team regarding the regulatory impact of rule proposals and final rules and regulations
What we’re looking for:
2-5 years of previous financial markets compliance experience; direct experience in a similar role preferred
Experience with an exchange member firm, exchange and/or regulator a plus
Knowledge of US regulatory requirements; previous experience with broker-dealer regulatory requirements preferred
Experience with market abuse monitoring tools
Strong business acumen and analytical and problem-solving skills
Excellent organizational skills
Ability to work effectively and meet goals both as part of a team and independently
Outstanding written and verbal communication skills
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