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Deputy Chief Compliance Officer

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Deputy Chief Compliance Officer

Job Location
Chicago
Employment type
Regular
Department
Operations
Targeted Start Date
Immediate

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world.  We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk. 

Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets. 

We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it.  DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.  

As a Deputy Chief Compliance Officer in our Chicago headquarters office, you’ll assist in the oversight of DRW’s global compliance program - including surveillance, monitoring, developing and enforcing compliance policy and procedures, and providing compliance education and counsel to internal trading businesses. As a key member of DRW’s Compliance leadership team, the Deputy Chief Compliance Officer will have responsibility for a broad range of compliance work, with particular emphasis on partnering with DRW’s Global Head of Compliance and Chief Compliance Officer to administer the firm’s Compliance Program.  This role will report to the Global Chief Compliance Officer.

What you will do in this role:

  • Lead various aspects of DRW’s compliance program, including the day-to-day management of a team of junior to senior-level compliance officers.
  • Assist with the development and execution of compliance projects and the implementation of strategic initiatives.
  • Address day-to-day compliance-related questions regarding trades, trading strategies, the application of technology to trading methodologies, pricing and valuation, and reporting.
  • Monitor and report on the effectiveness of policies and procedures of the department; recommend and implement enhancements and changes as needed.
  • Liaise with regulatory agencies and SROs on a regular basis
  • Continuously monitor the regulatory environment for proposed rules, guidance, and industry trends that may affect the Firm’s compliance and business models.
  • Display effectiveness in identifying business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.
  • Implement and enforce compliance policies, including overseeing the trade surveillance and e-communication programs, and continually evaluate the efficacy of the firm’s relevant policies and procedures, in order to implement appropriate enhancements, where needed.

What is needed for this role:   

  • 10 years of regulatory compliance experience required
  • Strong knowledge of financial markets, including surveillance and controls in a fast-paced complex multi-product trading environment.
  • Experience at a regulatory agency or an SRO required
  • 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; J.D. preferred

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California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice.

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