Related skills
regulatory reporting surveillance tools consolidated audit trail mifid transaction reporting futures audit trail📋 Description
- Drive IMC's regulatory vision and compliance for US trading
- Promote compliance culture and regulatory awareness
- Monitor trading activity with in-house surveillance systems
- Support external data reporting platforms (Consolidated Audit Trail, MiFID, TRACE)
- Investigate reporting exceptions and drive corrective actions
- Manage onboarding/offboarding including Forms U4/U5 and fingerprints
- Assist audits/regulatory exams with data review
- Review employee personal trading including pre-clearance
- Maintain detailed documentation of processes and procedures
- Salary range: $85,000–$115,000 USD
🎯 Requirements
- 1-5 years experience in prop trading, exchange, regulator
- Bachelor's degree
- FINRA SIE and Series 57 required within 1 year
- Knowledge of US regulatory environment for trading firms
- Able to meet regulatory requests, audits, investigations
- Experience with third-party vendors for monitoring personal trading
- Proficient with surveillance tools to monitor activity
- Strong interpersonal, organizational, and time-management skills
- Ability to clearly convey complex ideas
- High attention to detail; eager to learn and ask questions
- Proactive and reliable; able to work independently or in a small team
🎁 Benefits
- Discretionary bonus and comprehensive benefits
- Paid leave and health insurance
- Full details on Benefits page
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