Compliance Analyst at DV Trading LLC
ChicagoFull-timeCompliancePosted about 1 month ago
Apply with PipelineAbout the Role
<p><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><strong>About Us</strong>:</span><br><span style="font-size: 10pt;">Founded 20 years ago and headquartered in Chicago, the DV Group of financial services firms has grown to more than 600 people operating throughout North America, Europe and Asia. Since spinning out of a large brokerage firm in 2016, DV Trading has rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity to worldwide financial markets and hedging opportunities to commodity producers and users. Now, DV group affiliates include two broker dealers, a cryptocurrency market making firm, and a bourgeoning investment adviser.</span><br><br><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><strong>Overview:<br></strong>DV is looking for someone eager to join its Compliance Department and support an actively growing team. A successful candidate would service both the futures and equities trading businesses, including its broker-dealer DV Equities.</span><br><br><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><strong>Job Responsibilities:</strong></span></p>
<ul>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Compliance/trade practice automated surveillance (reviewing daily reports, responding to inquiries)</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Onboarding new broker relationships</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Responding to KYC requests</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Drafting internal risk and compliance policies</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Research emerging areas (e.g., cryptocurrency regulation, international/cross-border rules)</span></li>
</ul>
<p><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><strong>Requirements:</strong></span></p>
<ul>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Bachelor’s degree and at least <span style="text-decoration: underline;">one year</span> of experience in a compliance and/or regulatory position</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Possess excellent written and oral communication skills</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Strong understanding of trading/financial services compliance</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Possess a strong work ethic and be able to learn quickly in a fast paced, dynamic environment</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Detail oriented, organized, and diligent, with the ability to maintain discretion of highly sensitive/confidential information</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Maintain composure and communicate clearly when under pressure</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">High level of proficiency in Microsoft Office and Adobe Professional</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Experience with broker-dealer and/or proprietary trading desired</span></li>
<li style="font-size: 10pt; font-family: helvetica, arial, sans-serif;"><span style="font-size: 10pt; font-family: helvetica, arial, sans-serif;">Available to work 5 days per week at our Chicago office</span></li>
</ul>
<p><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><strong>Benefits:</strong></span></p>
<ul>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Discretionary bonus eligibility</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Medical, dental, and vision insurance</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">HSA, FSA, and Dependent Care Options</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Employer Paid Group Term Life and AD&D insurance</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Voluntary LTD, Life & AD&D insurance</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Flexible Vacation policy</span></li>
<li style="font-family: helvetica, arial, sans-serif; font-size: 10pt;"><span style="font-family: helvetica, arial, sans-serif; font-size: 10pt;">Retirement plan with employer match</span></li>
</ul>
<p><em style="font-size: 10pt; font-family: Helvetica, Arial, sans-serif;">Annual compensation range $70K - $85K + discretionary bonus eligibility</em></p>
<p><span style="font-size: 10pt;"><em>DV is not accepting unsolicited resumes from search firms. Only search firms with valid, written agreements with DV should submit resumes in response to DV’s posted positions. All resumes submitted by search firms to DV via e-mail, the Internet, personal delivery, facsimile, or any other method without a valid written agreement shall be deemed the sole property of DV, and no fee will be paid in the event the candidate is hired by DV. DV is proud to be an equal opportunity employer and committed to creating an inclusive environment for all employees.</em></span></p>
<p> </p><div class="content-pay-transparency"><div class="pay-input"><div class="description"><p><span style="font-size: 14px;"><em>The range below reflects the expected base salary for this position. It represents a good-faith estimate of the base pay we anticipate offering, with actual compensation determined by your experience, education, skills, and performance throughout the interview process. This role is also eligible for a discretionary bonus (at DV Trading's discretion) and DV Trading's benefits package, including the benefits listed above.</em></span></p></div><div class="title">Base Salary Range</div><div class="pay-range"><span>$70,000</span><span class="divider">—</span><span>$85,000 USD</span></div></div></div>