Group One Trading
  • 16-Mar-2020 (CST)
  • Compliance
  • Chicago, IL, USA
  • Salary
  • Full Time

Position Summary

We are seeking a Compliance Associate whose responsibilities will consist of legal research, (particularly pertaining to the different Exchanges Rules and Regulations); supporting in data reviews for potential rule violations, assisting in all aspects of project work and administrative tasks such as filing, data input and other miscellaneous requests of the Chief Compliance Officer.

 The ideal candidate will possess strong skills in the following areas:

  • Responding to regulatory inquiries
  • Daily/Monthly/Quarterly/Yearly reporting to SEC and various SROs
  • Licensing/Exam Scheduling
  • Annual compliance training

 General Requirements

  • Excellent interpersonal skills combined with superior written and oral communication skills
  • Highly organized, able to effectively research and problem solve
  • Ability to effectively communicate and collaborate with colleagues across different functional groups and locations

Education and Experience

We seek a candidate with 2-5 years relevant experience preferably in the securities industry.  Series 7 and Series 24 are added bonus. If candidate does not currently hold a Series 7 or a Series 24, then they will be expected to pass both exams successfully.

About Group One:

Group One is a specialist and market maker across every US equity option exchange group (CBOE, NYSE, NASDAQ, MIAX, BOX). With 30 years since our founding, Group One has grown into one of the largest, privately held options trading firms in the United States. We maintain a floor presence in Chicago, New York, San Francisco, and Philadelphia, and we have specialist posts in New York and Chicago. Our traders provide competitive liquidity across a broad range of securities by managing portfolios of several hundred issues and simultaneously streaming quotes across multiple exchanges.

We offer competitive compensation, including a performance-based bonus and comprehensive benefits, paid vacation, fresh fruit and snacks daily, casual dress environment, social events, and more!


Group One Trading
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