Director of Compliance

Responsibilities

• Oversee full department operations including surveillance, investigations, regulatory reporting, testing, and training programs
• Design and implement compliance processes that balance regulatory requirements with business practicality
• Lead complex investigations and matters requiring senior-level involvement
• Provide expertise on novel compliance situations and ambiguous regulatory matters
• Lead cross-departmental initiatives requiring compliance input or oversight
• Ensure quality assurance for all compliance deliverables and work product
• Coordinate regulatory examinations and serve as primary working-level contact with regulators
• Manage vendor relationships for compliance systems

Requirements

• Minimum of 7 years of progressive compliance responsibility in financial services
• At least 5 years of experience in an options/derivatives trading environment
• Deep operational and regulatory knowledge across SEC, FINRA, and exchange rules
• Strong understanding of options trading and market structure
• Required licenses: Series 7, Series 57, and Series 24
• Bachelor's degree required
• Ability to work onsite in Chicago, IL or New York, NY

Preferred Qualifications

• Advanced degree such as an MBA, JD, or relevant Master's
• Series 4 license
• Working knowledge of coding languages such as SQL and Python

Benefits

• Competitive salary with performance-based bonus
• 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, managing portfolios of thousands of securities and electronically streaming two-sided quotes across multiple exchanges. We are a founder-owned firm that values transparency, collaboration, and a healthy work-life balance.