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- Tasks: Ensure compliance with US regulations and support international trading operations.
- Company: IMC is a global trading firm known for innovation and collaboration in financial markets.
- Benefits: Enjoy growth opportunities, a dynamic work environment, and a commitment to social impact.
- Why this job: Join a high-performance culture that values learning and offers responsibility expansion.
- Qualifications: Bachelor's degree required; 5+ years in US regulatory compliance preferred.
- Other info: Work from IMC's new London office while liaising with US teams.
The predicted salary is between 43200 - 72000 £ per year.
The US Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC's global operations. The role requires a specialized understanding of US regulatory frameworks and the ability to apply them in an international context. This role will report directly to IMC's US Chief Compliance Officer, but will be based in IMC's newly opened London office. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.
Your Core Responsibilities:
- Partner with Compliance team to drive IMC's regulatory vision and compliance efforts.
- Promote the Firm's Compliance culture, awareness of regulatory requirements, and best practices.
- Act as the primary liaison between US Compliance teams and international business units.
- Monitor trading activity using the Firm's in-house surveillance systems.
- Maintain detailed, accurate, and organized documentation of the execution of the Firm's processes and procedures.
- Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.
- Assist in onboarding new personnel and managing various SRO registration processes.
- Provide specialized training for employees on US regulatory standards.
- Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.
- Advise trading and technology personnel on potential US compliance risks.
- Monitor for and assess new or proposed changes in US regulations and enforcement actions.
- Align synergies with compliance teams in other regions where applicable.
Your Skills and Experience:
- Bachelor's degree; Advanced degree preferred.
- Proven experience (5+ years) in US regulatory compliance, with experience working in an international context preferred.
- FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
- Strong interpersonal, organizational, problem-solving, and time-management skills.
- Sophisticated analytical skills and ability to interpret complex regulatory frameworks.
- High level of integrity and discretion when handling sensitive and confidential information.
- Understanding of basic US financial industry business knowledge and interest in the US regulatory environment.
- Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.
- Strong attention to detail; Eager to learn, ask questions, and admit mistakes.
- Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers.
- Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.
- Proactive and reliable, with the ability to work independently as well as with others in a small team.
About Us
IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we've been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.
Compliance Officer - US Regulatory Specialist employer: IMC
Contact Detail:
IMC Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - US Regulatory Specialist
✨Tip Number 1
Familiarise yourself with the specific US regulatory frameworks relevant to trading financial products. Understanding the nuances of regulations from bodies like the SEC and CFTC will not only boost your confidence but also demonstrate your commitment to compliance during discussions.
✨Tip Number 2
Network with professionals already working in compliance roles, especially those with experience in international contexts. Engaging in conversations about their experiences can provide valuable insights and may even lead to referrals or recommendations.
✨Tip Number 3
Stay updated on recent changes in US regulations and enforcement actions. Subscribing to industry newsletters or joining relevant online forums can help you keep your knowledge current, which is crucial for a role that requires monitoring regulatory developments.
✨Tip Number 4
Prepare to discuss how you would promote a compliance culture within an organisation. Think of examples from your past experiences where you successfully implemented compliance initiatives or trained others on regulatory standards, as this will showcase your proactive approach.
We think you need these skills to ace Compliance Officer - US Regulatory Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance Officer position. Familiarise yourself with US regulatory frameworks and how they apply in an international context.
Tailor Your CV: Highlight your relevant experience in US regulatory compliance, especially any international exposure. Emphasise your analytical skills and any specific licenses or qualifications that align with the job description.
Craft a Compelling Cover Letter: Use your cover letter to demonstrate your understanding of IMC's compliance culture and how your background makes you a perfect fit. Mention specific experiences that showcase your problem-solving abilities and attention to detail.
Proofread Your Application: Ensure that your application is free from errors. A well-written application reflects your communication skills and attention to detail, which are crucial for this role. Consider asking a friend or colleague to review it before submission.
How to prepare for a job interview at IMC
✨Understand US Regulatory Frameworks
Make sure you have a solid grasp of the key US regulatory frameworks relevant to the role. Be prepared to discuss how these regulations impact trading activities and compliance efforts, especially in an international context.
✨Showcase Your Analytical Skills
Highlight your ability to interpret complex regulatory frameworks and demonstrate your analytical skills during the interview. You might be asked to analyse a hypothetical compliance scenario, so practice articulating your thought process clearly.
✨Emphasise Communication Skills
Since the role involves liaising between US Compliance teams and international business units, strong communication skills are essential. Prepare examples of how you've effectively communicated complex ideas or compliance issues in previous roles.
✨Demonstrate Proactivity and Teamwork
The role requires a proactive approach and the ability to work well within a small team. Share experiences where you've taken initiative in compliance matters or collaborated with others to achieve compliance goals.
