Senior Compliance Analyst - Options Trading (Hybrid)

PEAK6; Chicago (IL); Hybrid; USD 117,000 - 147,000; Full time

Benefits offered by this job

Healthcare benefits

PTO

401k match

Parental leave

HSA contribution

Calm app subscription

Tuition reimbursement

Hybrid remote work (2 days)

Job summary

PEAK6 Capital Management seeks a Senior Compliance Analyst to lead and administer our firm-wide compliance program in a dynamic options trading environment. You will develop policies, oversee training, and ensure adherence to SEC, FINRA, and CBOE rules while guiding business leaders on risk and controls.

The role requires strong leadership, excellent communication, and a proactive, detail-oriented mindset. We offer a hybrid work model with remote days and a path toward regulatory certifications.

Qualifications

• 5+ years of compliance experience in options trading.
• Strong knowledge of US broker-dealer rules (SEC, FINRA, CBOE).
• Ability to lead and influence across teams.
• Excellent written and verbal communication.

Responsibilities

• Develop, implement and administer a firm-wide compliance program.
• Oversee written supervisory procedures and compliance manuals.
• Conduct compliance reviews and risk assessments; implement corrective actions.
• Manage vendor relations and information barrier issues.
• Prepare regulatory filings and maintain required books and records.
• Provide training on compliance and ethics.

Skills

Regulatory compliance

Leadership

Communication

Project management

Analytical skills

MS Office

Attention to detail

Education

Series 57 license

Series 24 license

Tools

CRD database

Global Relay

ComplySci

Job description

PEAK6 Capital Management seeks a Senior Compliance Analyst to lead and administer our firm-wide compliance program in a dynamic options trading environment. You will develop policies, oversee training, and ensure adherence to SEC, FINRA, and CBOE rules while guiding business leaders on risk and controls.

The role requires strong leadership, excellent communication, and a proactive, detail-oriented mindset. We offer a hybrid work model with remote days and a path toward regulatory certifications.