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Senior Compliance Officer

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Job Location
Employment Type
Trading, Other Roles
Targeted Start Date

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 Senior Compliance Officer in our Chicago headquarters office, you’ll assist in the oversight of all North American - based compliance including surveillance, monitoring, developing and enforcing compliance policy and procedures, and providing compliance education and counsel to internal equities trading businesses. 

What you will do in this role:

  • Assist in the development, implementation and monitoring of compliance policies, procedures and internal controls
  • Assist with monitoring of trade execution; provide compliance oversight of the trade execution function
  • Address day-to-day compliance-related questions regarding trades, trading strategies, the application of technology to trading methodologies, pricing and valuation, and back-office operations
  • Monitor and report on the effectiveness of policies and procedures of department; recommend and implement enhancements and changes as needed
  • Conduct surveillance reviews and trade desk audits
  • Liaise with SROs regularly
  • Manage and drive special compliance projects such as researching regulations outlining business impact, due diligence reviews or new product initiatives
  • Assist in the ongoing enhancement and implementation of compliance program

What is needed for this role:   

  • 15+ years of financial markets compliance experience required
  • Experience at a regulator or an exchange required
  • Must have strong knowledge of U.S. regulations 
  • Must possess a strong knowledge of financial markets
  • Ability to effectively communicate at all levels within the organization
  • Must have strong business acumen and the analytical and problem-solving skills necessary to identify trends and root issues, and to recommend solutions that support the company’s business objectives
  • Must have strong organizational and presentation skills and a professional demeanor
  • Must have excellent written and verbal communication skills
  • Bachelor’s degree required; advanced degree preferred

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