Broker - Dealer Compliance Attorney
Robert Half Legal (Chicago, Illinois)

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Loop proprietary trading firm is seeking a Compliance Attorney with 5+ years of experience for its Chief Compliance Officer position. Compliance Attorney will be responsible for assuring overall compliance with a variety of institutional broker-dealer regulatory requirements that impact the company and its operations. Responsibilities include: Maintaining an effective compliance program by providing advice to and monitoring business activities to achieve compliance with firm policies, procedures, and regulatory requirements; Executing annual compliance program, which includes review of policies and procedures, training, monitoring, and testing; Assisting in annual SRO examinations and responding to regulatory inquiries and investigations pertaining to general trading matters; Being responsible for amending and revising policies and procedures and drafting new documents when necessary; Functioning as the AML Officer of the Broker-Dealer will full responsibility for the firm’s AML compliance program; Interfacing with technology support to ensure technology and trading practices remain compliant with existing and future regulatory requirements; Being responsible for compliance with all US and foreign futures regulations; and maintaining accurate, organized and current compliance records. Candidates must be knowledgeable in all areas of regulatory compliance and risks related to the rules and regulations of the SEC, FINRA, SROs, and other federal, state and local regulations and laws; possess a strong understanding of SEC and FINRA rules and regulations, particularly Reg NMS and Reg SHO as applied in high frequency, proprietary trading environment; possess good verbal and written communication skills; NASD Series License numbers 7 and 24; and possess an understanding of legal/court document contents, regulation, rules and the ability to apply complex information to situations as necessary. This position offers an exciting, fast-paced environment and extremely generous bonus potential in addition to base salary. Interested candidates should email resumes to erin.laramie@roberthalflegal.com.

Qualifications :
Candidates must have JD, 5+ years of experience as a compliance attorney and have experience with Reg NMS and Reg SHO.

Located in major markets throughout North America, Robert Half Legal is the premier provider of legal professionals on a full-time, project and temporary basis to law firms and corporate legal departments. We offer our candidates challenging assignments, competitive compensation and benefits, and skills-enhancement training. Robert Half Legal is better at finding you challenging new career opportunities because we come from the legal industry ourselves, with a majority of our staffing executives holding JDs or other legal credentials. Additionally, we were just ranked number one in our industry on Fortune's list of America's Most Admired Companies. Call your local Robert Half Legal office at 1.800.870.8367 to discover more about this position. Robert Half Legal is an Equal Opportunity Employer. Apply for this job now or contact our branch office for additional information.