Job Description
Compliance Associate Group One Trading - 3.9 Chicago, IL Job Details Full-time $75,000 - $90,000 a year 1 day ago Benefits Paid holidays Health insurance Dental insurance 401(k) Flexible spending account Parental leave Vision insurance 401(k) matching Qualifications Surveillance operations Record keeping Transaction monitoring Regulatory reporting Filing Research Mid-level Administrative experience Series 7 Bachelor's degree Securities Industry Essentials Financial regulatory compliance investigation Series 24 Organizational skills Regulatory submissions Financial services Excel formulas Escalation handling Communication skills
Full Job Description Location:
Chicago, IL Salary Range:
$75,000 - $90,000 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. WHO WE ARE
We are committed to creating a diverse environment and are proud to be an equal opportunity employer. At Group One, we value transparency and collaboration coming from unique perspectives and backgrounds. We hire bright, analytical, and competitive people and train them to be the best in the industry. We strive to create a workplace in which all employees have an opportunity to participate and contribute to the success of the business. A healthy work-life balance is essential to sustaining our work culture and our overall success. We rely on our employees to spur creativity, enhance problem-solving, and help us thrive in the high-pressure trading industry. WHAT WE DO
Group One Trading was founded in San Francisco in 1989, and we've become one of the largest privately held options trading firms in the United States, with brilliant people on our team in New York and Chicago. We continue to expand our presence on exchanges as the options trading space evolves and grows. Armed with expertise developed through a rigorous training program, our traders provide competitive liquidity across a broad range of securities. We manage portfolios of thousands of securities and electronically stream two-sided quotes across multiple exchanges. Group One is wholly owned by its founders and employees, and all our trading is proprietary, placing both the rewards for our success and managerial oversight directly in our team's hands. 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 SKILLS AND 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 Prior internship or experience in compliance, trading operations, or financial services preferred Familiarity with trading concepts, market structure, or securities regulations preferred FINRA SIE and Series 57 licenses required within six months of employment. Series 7, Series 24, or other relevant securities licenses are pluses (or willingness to obtain) This is a role that requires a significant in-office presence THE BENEFITS
Our Compliance Associate earns a competitive salary, commensurate with experience. We provide fantastic benefits, including 401(k) and Roth 401(k) retirement plans with employer matching, medical, dental, vision, generous vacation time, paid holidays, parental leave, and flexible spending accounts (FSA) for health care, dependent daycare, and parking or mass transit expenses.
