Compliance Associate

Group One Trading • Chicago, IL

1d • Onsite

About The Position

Group One Trading is seeking a Compliance Associate to support the day-to-day operations of the Compliance Department, with a focus on trade surveillance, investigation support, and administrative functions. You'll work closely with the entire Compliance staff to help maintain a robust compliance framework. The ideal candidate is detail-oriented, organized, and eager to build a career in financial services compliance.

Requirements

• Bachelor's degree in related field
• Strong attention to detail and ability to follow complex procedures accurately
• Excellent organizational skills and ability to manage multiple tasks simultaneously
• Strong written and verbal communication skills
• Basic proficiency in Excel (sorting, filtering, formulas) and ability to navigate compliance systems
• Ability to work independently while knowing when to escalate questions or concerns
• High degree of integrity and professional accountability
• FINRA SIE and Series 57 licenses required within six months of employment.

Nice To Haves

• Prior internship or experience in compliance, trading operations, or financial services preferred
• Familiarity with trading concepts, market structure, or securities regulations preferred
• Series 7, Series 24, or other relevant securities licenses are pluses (or willingness to obtain)

Responsibilities

• Monitor trading activity using the firm's surveillance systems, review alerts against established criteria, and escalate potential violations
• Clear false positive alerts and maintain comprehensive alert disposition logs with documented rationale
• Monitor real-time alerts during market hours for time-sensitive compliance issues
• Assist with investigations by gathering data, documents, and relevant trade information
• Create timelines, transaction summaries, and factual compilations for investigation files
• Perform preliminary research and basic fact-finding for compliance inquiries under senior staff supervision
• Maintain compliance records, filing systems, and documentation repositories
• Support routine regulatory reporting and data submissions
• Assist with training logistics, materials preparation, and attendance tracking
• Update and maintain the compliance procedure library
• Follow established compliance policies and procedures consistently, and identify practical issues encountered during daily execution

Benefits

• 401(k) and Roth 401(k) retirement plans with employer matching
• medical
• dental
• vision
• generous vacation time
• paid holidays
• parental leave
• flexible spending accounts (FSA) for health care, dependent daycare, and parking or mass transit expenses

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level