Maven is looking for an outstanding Compliance Officer to join our US team and assist in the development of our US business. The Compliance Officer must have a good understanding of US regulation and the intricacies of its application to algorithmic trading. This role is suitable for a proactive individual that is not only independent, but also a strong team player. We are looking for this individual to be based in either our brand new Chicago office or our New York office, the choice is yours.

WHAT YOU’RE GOING TO DO: 

  • Develop and maintain the compliance framework for the US business as part of the global framework
  • Audit the Compliance Monitoring Plan and the controls in place to assess their effectiveness 
  • Review impending or proposed legislation to assess impact on the firm and implement changes where required
  • Assist with responses to inquiries from regulators and trading venues  
  • Conduct compliance risk assessments and monitoring, report on findings, and provide recommendations and implement changes where appropriate
  • Review alerts generated by the surveillance system and advise on any changes to reports as required
  • Provide compliance guidance on trading and business initiatives
  • Provide advice to the business on any regulatory matters as required and in particular as part of the global Compliance team.
  • Prepare and submit any regulatory filings for the US business as required
  • Ensure that 15c3-1 Net Capital Requirements are met

WHAT YOU NEED TO HAVE: 

  • Minimum 5 years of trading compliance experience, and experience dealing directly with regulators 
  • A Bachelor’s degree or relevant work experience 
  • Strong knowledge of US regulation and its application to algorithmic trading firms, specifically Regulation NMS, Regulation SHO, SEC Rules (15c3-5 & 15c3-1) and Reg M
  • Hold the FINRA Series 14 or Series 7 & 24 , this can be gained on the job if necessary
  • Knowledge of market making, derivatives and equity security trading cycles and market structure in general
  • Strong understanding of risk controls, monitoring, and how they are applied as part of the compliance program 
  • Experience in the creation, development, and implementation of compliance policies and procedures for new initiatives 
  • Must be an articulate communicator, able to communicate effectively within all levels of the organization
  • Ability to work independently, with judgement to involve management when required
  • Good organisational skills with the ability to manage multiple projects with competing deadlines

WHAT WE OFFER: 

  • A great environment whereby technology is key to our success
  • The upside of start-up without the associated risks
  • Friendly, informal and highly rewarding culture
  • The opportunity to work closely with a small and supportive team and make an impact 

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