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 1000 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 CAT and 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
- Bachelor’s degree
For more information about DRW's processing activities and our use of job applicants' data, please view our Privacy Notice at https://drw.com/privacy-notice.
California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice.