Senior Compliance Analyst

HRN Research Capital; Chicago (IL); On-site; USD 100,000 - 200,000; Full time

Job summary

HRN Research Capital seeks a senior compliance partner committed to overseeing regulatory analysis and testing for an electronic trading firm. The role bridges regulatory requirements with practical controls across trading systems and operations.

The successful candidate will advise on SEC, FINRA, and exchange regulations, support investigations, and collaborate with engineers and traders to strengthen the compliance program with a hands-on, tech-driven approach.

Qualifications

• Significant experience advising FINRA-registered broker-dealers and navigating regulatory examinations (FINRA, SEC, exchanges).
• Experience with electronic/tech-driven trading businesses (electronic trading, market making, institutional brokerage).
• Familiarity with at least two markets (equities, fixed income, options, futures).
• Series 24 registration is required; other registrations are a plus.
• J.D. is a plus.
• Must be legally authorized to work in the United States.

Responsibilities

• Advise on SEC, FINRA, exchanges, MSRB and other securities regulations.
• Assist with regulatory examinations, inquiries and information requests.
• Support the CCO in day-to-day operations of the compliance program including analysis, testing, examinations, policies and regulatory inquiries.
• Translate regulatory requirements into practical controls for automated and algorithmic trading systems.

Skills

Regulatory analysis

Compliance testing

Regulatory examinations

Engineers & traders collaboration

Education

J.D.

Series 24 registration

Job description

We are looking for someone who can operate as a senior compliance partner. A successful candidate should be comfortable moving between regulatory analysis, compliance testing, regulatory examinations, and detailed discussions with engineers and traders.

The role is well suited to someone who understands that effective compliance in an automated trading

business requires both strong knowledge of securities regulation and a practical understanding of how trading systems, technology, and operational processes actually work.

This position will have significant responsibility and the opportunity to help shape the compliance infrastructure of a growing electronic trading firm.

JOB DESCRIPTION

• Advise the firm on SEC, FINRA, exchange, MSRB, and other applicable securities regulations.
• Assist with FINRA, SEC, exchange, and other regulatory examinations, inquiries, and information requests.
• Support the CCO in the day-to-day operation of the firm's compliance program, including regulatory analysis, testing, examinations, policies, WSPs, and regulatory inquiries.
• Translate regulatory requirements into practical controls for automated and algorithmic trading systems.

QUALIFICATIONS

• Significant experience working with or advising a FINRA-registered broker-dealer. Experience with regulatory examinations and interactions with FINRA, SEC, or exchanges strongly preferred.
• Experience with electronic trading, proprietary trading, market making, institutional brokerage, or another technology-driven trading business strongly preferred.
• Familiarity with at least two of equities, fixed income, options, and/or futures markets strongly preferred.
• Series 24 registration is required. Other relevant registrations are a plus.
• J.D. is a plus.
• Must be legally authorized to work in the United States.

COMPENSATION

The anticipated base salary for this position is $100,000–$200,000 per year. Actual compensation will depend on experience, qualifications, and responsibilities. The position is also eligible for a discretionary performance bonus.