Compliance Governance Manager

What You’ll Do

• Draft written supervisory procedures (“WSPs”) and conduct periodic testing and assessments to identify opportunities for procedural or control enhancements
• Interact with Belvedere senior management to ensure that operational procedures are up to date and consistent with WSP requirements
• Draft desktop procedures for a variety of Compliance functions
• Keep current with industry and regulatory developments applicable to Belvedere and draft memorandums summarizing the key points for the Chief Compliance Officer
• Interface with Belvedere’s regulators, including various self-regulatory organizations like CBOE and CME, to ensure timely and comprehensive responses to inquiries and exam requests
• Work alongside experienced traders and managing partners to gain an unparalleled knowledge of our proprietary systems

What You’ll Need

• 3-7 years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization
• Bachelor’s Degree required
• The ability to identify and implement technology and process improvement opportunities
• Be an independent leader on projects that improve our trading operations management
• High degree of comfort and fluency with technology and understanding of how technology is applied to business and regulatory problems
• High degree of comfort in a fast-paced and competitive environment and engage in high-level interactions with all levels of management
• Excellent oral and written communication skills
• Detail-oriented with outstanding organizational and project management skills
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

Preferred Qualifications

• Intermediate data query skills, such as SQL
• Proficiency in Excel and data analysis
• Project management certification(s)
• Series 57, 7, or other FINRA license(s)
• Strong knowledge of capital markets
• JD, MBA, or Master’s Degree in Finance or Technology