Director of Operations and U.S. Compliance Officer

Maven is a market-leading proprietary trading firm deploying its own capital across discretionary, systematic, and market-making strategies. Backed by deep expertise in trading, technology, and research, we are relentlessly focused on improving liquidity across global listed derivatives. Through advanced execution and pricing technologies, we improve how financial markets operate.

• • Improve and maintain the coverage and capability of the US Compliance function.
  • Design, maintain, and implement a Compliance Monitoring Plan for the company’s US Regulatory Framework.
  • Improve the monitoring suite, assess resourcing requirements, and provide analysis to Senior Management.
  • Ensure the US-based businesses meet their ongoing reporting and submission requirements.
  • Ensure coverage for all relevant areas and develop the knowledge and progress of the US-based Compliance team.
  • Ensure that risk-based monitoring is performed at the appropriate standard and improvements are standardized for use in other regions.
  • Provide regulatory support and advice on trading activities.
  • Manage and assist with ad hoc or structured requests for information or analysis from the business.
  • Detail and document the advice provided.
  • Ensure that policies and procedures remain fit for purpose and are implemented in practice.
  • Provide regulatory training.
  • Develop processes for compliance workflows across the Compliance team.
  • Manage US-based compliance staff.
  • Manage Chicago office employee engagement and budgets.
  • Ensure functional workflows are coordinated and executed.
  • Perform resource planning and new joiner integration.
  • Foster an effective and collaborative environment, promoting company values and adherence to policies and procedures.
  • Coordinate the efforts of functional teams to ensure adequate coverage and meet regulatory and other filing requirements.
  • Set policy for the Chicago operation.
  • Manage relationships with third party banks and exchanges.
  • Participate in Local Management Board.
  • Oversee strategic business planning and implementation.

   

• Requires Master’s degree in Law, Legal Studies, Business, Accounting, or a related field of study, plus five (5) years of experience with regulatory processes for international markets; regulatory requirements for financial exchanges; regulatory compliance for market making; securities laws and U.S. Securities and Exchange Commission (SEC) rules; regulatory requirements for US trading, including rules on market abuse and insider trading, reporting requirements, Regulation SHO, Regulation M, and FINRA Rule 5130; regulatory requirements for investment advisors; KYC/AML requirements for investment advisors; reporting requirements for investment advisors; fund marketing rules; devising and implementing a compliance framework for investment advisors; and/or compliance rules for global finance companies.