COMPLIANCE ASSOCIATE

WHO WE ARE

Headquartered in the historic Chicago Board of Trade, PEAK6 Capital Management is a proprietary options trading firm that has been defining the industry for more than 25 years. While many firms have come and gone, PEAK6 Capital Management has consistently delivered liquidity to the options market. We thrive due to our firm’s special blend of financial acumen, ability to manage risk, and cutting-edge technology.

Our success is driven by our team of technologists, engineers, and traders who leverage proprietary tech and a data-centric approach to maintain inventory and stay ahead of the markets, so customers can, too.

We are committed to providing dependable liquidity, which is crucial for market stability, investor confidence, and efficient trading across asset classes.

ABOUT THIS ROLE

As a member of the Compliance Team at PEAK6, you’ll ensure the ongoing support and implementation of an effective compliance program which includes the development of policies and procedures, manuals, training, and employee monitoring.

Responsible:

• Various functions such as setting up/removing employee users, establishing and monitoring employee personal trading feeds, collecting and reviewing personal trading statements, distributing compliance affirmations, and reviewing employee disclosures.
• Provide ongoing support to employees in compliance areas including policies, disclosures, and personal trading.
• Monitor for compliance with internal policies and procedures and regulatory requirements.
• Analyze large amounts of data.
• Conduct comprehensive compliance reviews and testing.
• Identify potential areas of compliance vulnerability and risks; articulate and implement corrective action plans.
• Investigate and resolve compliance-related inquiries from employees; ability to seek interpretations and provide guidance.
• Administer a compliance-training program for employees.
• Draft and maintain policies and procedures.
• Assist in developing, implementing and enforcing a detailed compliance program to ensure compliance with SEC / FINRA (other SRO) regulations and firm policies.
• Collaborate with other Compliance Department members, as well as other teams.

YOUR EXPERIENCE:

• 0-3 years of general compliance experience
• Ability to work well under pressure, ability to handle multiple priorities while keeping an enthusiastic attitude.
• Excellent oral and written communication and interpersonal skills.
• Ability to work independently with limited supervision and guidance.
• Superior attention to detail and organizational skills.
• Ability to maintain a high level of discretion and confidentiality over a variety of sensitive information.
• Series Industry Essentials (SIE) qualification a plus. Willingness to take higher level exams as the role or responsibilities change
• Prior use of third-party applications, such as Compliance Science (ComplySci), Global Relay, and/or FINRA’s Central Registration Depository (CRD) a plus.
• Proficiency with Microsoft Office.
• Excellent task management skills.

OUR REWARDS

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. As a hybrid workforce, we offer our employees the ability to work remotely up to two days a week.

Base pay offered may vary depending on job-related knowledge, skills, experience, and office location. This position also may be eligible for a discretionary annual bonus in addition to a range of health & wellness benefits, enhancing your overall compensation package.

Base Salary Range

PEAK6 is proud to be an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

PEAK6 is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please contact our HR department at hr@peak6.com. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.

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