Administrative Skills, Attorney, Brokerage, Cross-Functional, Detail Oriented, Onboarding, Regulations, Relationship Management, Securities and Exchange Commission (SEC), Strategic Planning, Surveillance, Team Player, Time Management
LOCATION
Chicago, IL
POSTED
Today
About the job
Rutherford is partnered with a technology-driven trading and investment firm operating across multiple asset classes on leading exchanges worldwide. The firm are seeking a trading compliance specialist that will act as a key advisor to the business and manage exchange relationships.
Key responsibilities
Monitor and interpret US exchange rules, SEC/CFTC guidance, and exchange circulars to keep the firm's activities compliant and well-aligned with evolving expectations.
Design, maintain, and enhance trade-surveillance controls to detect unusual patterns and escalate potential issues promptly.
Partner with operations, trading, and technology teams to ensure exchange reporting and membership obligations are consistently met.
Support expansion of exchange memberships in line with strategic growth plans (for example, Chicago-based initiatives), providing compliance input during onboarding and ongoing membership reviews.
Serve as an internal subject-matter expert on US exchange regulations - offering timely, practical compliance advice to front-office and support functions.
Liaise with regulators, exchanges, and external counsel as needed to respond to inquiries or prepare filings.
What you'll bring
Proven experience in a compliance/surveillance within a trading, brokerage, or exchange environment.
Strong grasp of US exchange rulebooks, membership obligations, reporting standards, and surveillance practices.
Comfort translating regulations into clear operational guidance for non-compliance colleagues.
Excellent stakeholder-management skills-able to collaborate with cross-functional teams and influence decision-makers.
Detail-oriented, proactive, and adaptable in a fast-moving trading environment.