Compliance Officer – US Regulatory Specialist

The US Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC’s global operations. The role requires a specialized understanding of US regulatory frameworks and the ability to apply them in an international context. This role will report directly to IMC’s US Chief Compliance Officer, but will be based in IMC’s newly opened London office. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.

Your Core Responsibilities:

• Partner with Compliance team to drive IMC’s regulatory vision and compliance efforts.
• Promote the Firm’s Compliance culture, awareness of regulatory requirements, and best practices.
• Act as the primary liaison between US Compliance teams and international business units.
• Monitor trading activity using the Firm’s in-house surveillance systems.
• Maintain detailed, accurate, and organized documentation of the execution of the Firm’s processes and procedures.
• Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.
• Assist in onboarding new personnel and managing various SRO registration processes.
• Provide specialized training for employees on US regulatory standards.
• Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.
• Advise trading and technology personnel on potential US compliance risks.
• Monitor for and assess new or proposed changes in US regulations and enforcement actions.
• Align synergies with compliance teams in other regions where applicable.

Your Skills and Experience: 

• Bachelor’s degree; Advanced degree preferred.
• Proven experience (5+ years) in US regulatory compliance, with experience working in an international context preferred.
• FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
• Strong interpersonal, organizational, problem-solving, and time-management skills.
• Sophisticated analytical skills and ability to interpret complex regulatory frameworks.
• High level of integrity and discretion when handling sensitive and confidential information.
• Understanding of basic US financial industry business knowledge and interest in the US regulatory environment.
• Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.
• Strong attention to detail; Eager to learn, ask questions, and admit mistakes.
• Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers.
• Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.
• Proactive and reliable, with the ability to work independently as well as with others in a small team.

About Us

IMC is a leading global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, and Asia Pacific, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

Read Full Description