Chicago Trading Company
Overview
CTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our culture emphasizes collaboration, ethical excellence, and solving the industry’s most challenging problems while taking calculated risks. Started in 1995 by a team of forward-thinking traders, we aim to be an industry leader that continues to improve markets and our people. Senior Compliance Associate – Broker Dealer
The Senior Compliance Associate supports CTC Trading Group, with a strong focus on our Broker Dealer entities, delivering trading and execution services while ensuring strict adherence to regulatory standards. As a member of the Broker Dealer compliance team, you will support client-facing operations and uphold integrity, transparency, and sound compliance practices in everything we do. This position reports to the Chief Compliance Officer and supports critical compliance functions such as counterparty diligence, trade surveillance, responding to regulatory inquiries, crafting compliance workflows, and drafting compliance procedures. Responsibilities
Complete initial and ongoing counterparty due diligence. Process new account applications and advance for review and approval. Monitor trading activities for compliance with federal securities laws, FINRA requirements, and internal risk parameters. Help respond to ad hoc regulatory inquiries from the SEC, FINRA, and other self-regulatory organizations. Assist in development and implementation of compliance procedures; support automation of compliance workflows. Collaborate with internal teams (Trading, Risk, Operations) to resolve Compliance queries and issues. Stay ahead of regulatory and industry guideline changes, communicating relevant updates across the firm. Mentor and train junior staff, providing guidance and quality assurance over their work. Qualifications
Bachelor's degree required; concentration in Finance, Accounting, Legal Studies, Business Administration, or related field preferred. 3+ years' experience in a compliance or regulatory role within a broker dealer, bank, or similarly regulated financial institution that maintains customer accounts. Series 7 license, or motivation to acquire the Series 7 within six months. Understanding of SEC and FINRA regulations, including KYC, trading, and trade reporting. Experience with compliance technology, trade surveillance systems, and regulatory reporting platforms. Proficiency in MS Office Suite, Jira, and Confluence; compliance system experience preferred. Compensation and Benefits
The salary range for this role is listed below. This role is eligible for an annual discretionary bonus. The discretionary bonus will be dependent upon the individual's skills, experience, qualifications, and firm performance. Salary Range: $135,000—$175,000 USD Most teams at CTC, with the exception of Trading, follow a hybrid workplace model, subject to change based on business need. Our Benefits and AI Disclosure
We offer outstanding benefits to support employees professionally and personally, including generous medical coverage, paid parental leave, free breakfast and lunch, wellness reimbursement, quarterly recharge days, and other benefits for the employee experience. (Disclaimer: interns and contractors are not eligible for benefits at CTC.) Use of Artificial Intelligence (AI): Information submitted by job applicants may be subject to review and analysis by automated systems, including AI, as part of the recruitment process. Applicants should be aware that information may be evaluated by AI tools to ensure an equitable assessment. Our Commitment to Diversity, Equity and Inclusion
CTC strives to cultivate a diverse and inclusive workplace where everyone feels they belong. We are an equal opportunity employer and do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We provide reasonable accommodations to participate in the job application or interview process and to perform essential job functions. If you have a disability and need a reasonable accommodation to search for a job opening or apply for a position, please contact us at info@chicagotrading.com. Note that emails sent to this address for non-disability related issues will not receive a response.
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CTC is a cutting-edge proprietary trading firm with a long-term vision and a clear focus on helping the world price and manage risk. Our culture emphasizes collaboration, ethical excellence, and solving the industry’s most challenging problems while taking calculated risks. Started in 1995 by a team of forward-thinking traders, we aim to be an industry leader that continues to improve markets and our people. Senior Compliance Associate – Broker Dealer
The Senior Compliance Associate supports CTC Trading Group, with a strong focus on our Broker Dealer entities, delivering trading and execution services while ensuring strict adherence to regulatory standards. As a member of the Broker Dealer compliance team, you will support client-facing operations and uphold integrity, transparency, and sound compliance practices in everything we do. This position reports to the Chief Compliance Officer and supports critical compliance functions such as counterparty diligence, trade surveillance, responding to regulatory inquiries, crafting compliance workflows, and drafting compliance procedures. Responsibilities
Complete initial and ongoing counterparty due diligence. Process new account applications and advance for review and approval. Monitor trading activities for compliance with federal securities laws, FINRA requirements, and internal risk parameters. Help respond to ad hoc regulatory inquiries from the SEC, FINRA, and other self-regulatory organizations. Assist in development and implementation of compliance procedures; support automation of compliance workflows. Collaborate with internal teams (Trading, Risk, Operations) to resolve Compliance queries and issues. Stay ahead of regulatory and industry guideline changes, communicating relevant updates across the firm. Mentor and train junior staff, providing guidance and quality assurance over their work. Qualifications
Bachelor's degree required; concentration in Finance, Accounting, Legal Studies, Business Administration, or related field preferred. 3+ years' experience in a compliance or regulatory role within a broker dealer, bank, or similarly regulated financial institution that maintains customer accounts. Series 7 license, or motivation to acquire the Series 7 within six months. Understanding of SEC and FINRA regulations, including KYC, trading, and trade reporting. Experience with compliance technology, trade surveillance systems, and regulatory reporting platforms. Proficiency in MS Office Suite, Jira, and Confluence; compliance system experience preferred. Compensation and Benefits
The salary range for this role is listed below. This role is eligible for an annual discretionary bonus. The discretionary bonus will be dependent upon the individual's skills, experience, qualifications, and firm performance. Salary Range: $135,000—$175,000 USD Most teams at CTC, with the exception of Trading, follow a hybrid workplace model, subject to change based on business need. Our Benefits and AI Disclosure
We offer outstanding benefits to support employees professionally and personally, including generous medical coverage, paid parental leave, free breakfast and lunch, wellness reimbursement, quarterly recharge days, and other benefits for the employee experience. (Disclaimer: interns and contractors are not eligible for benefits at CTC.) Use of Artificial Intelligence (AI): Information submitted by job applicants may be subject to review and analysis by automated systems, including AI, as part of the recruitment process. Applicants should be aware that information may be evaluated by AI tools to ensure an equitable assessment. Our Commitment to Diversity, Equity and Inclusion
CTC strives to cultivate a diverse and inclusive workplace where everyone feels they belong. We are an equal opportunity employer and do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We provide reasonable accommodations to participate in the job application or interview process and to perform essential job functions. If you have a disability and need a reasonable accommodation to search for a job opening or apply for a position, please contact us at info@chicagotrading.com. Note that emails sent to this address for non-disability related issues will not receive a response.
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