Compliance Associate

Responsibilities

• Monitor trading activity using surveillance systems and review alerts against established criteria
• Clear false positive alerts and maintain comprehensive 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
• Maintain compliance records, filing systems, and documentation repositories
• Support routine regulatory reporting and data submissions
• Update and maintain the compliance procedure library

Requirements

• Bachelor's degree in a related field
• FINRA SIE required; Series 57 required within six months of employment
• Proficiency in Excel (sorting, filtering, formulas)
• Strong attention to detail and ability to follow complex procedures
• Excellent organizational and communication skills
• Ability to work onsite in Chicago, IL

Preferred Qualifications

• Prior internship or experience in compliance, trading operations, or financial services
• Familiarity with trading concepts, market structure, or securities regulations
• Possession of Series 7, Series 24, or other relevant securities licenses

Benefits

• Competitive salary ($75,000 - $90,000)
• 401(k) and Roth 401(k) retirement plans with employer matching
• Medical, dental, and vision insurance
• Generous vacation time and paid holidays
• Parental leave
• Flexible spending accounts (FSA) for healthcare, daycare, and transit

About the Company

Group One Trading is one of the largest privately held options trading firms in the United States. Founded in 1989, we provide competitive liquidity across a broad range of securities through proprietary trading. We value transparency, collaboration, and diverse perspectives, striving to create a workplace where bright, analytical people can thrive in the high-pressure trading industry.