Compliance Associate

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.

• 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

• 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

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.