Senior Compliance Partner — Automated Trading & Regulation

HRN Research Capital; Chicago (IL); Presencial; USD 100.000 - 200.000; Jornada completa

Descripción de la vacante

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.

Formación

• 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.

Responsabilidades

• 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.

Conocimientos

Regulatory analysis

Compliance testing

Regulatory examinations

Engineers & traders collaboration

Educación

J.D.

Series 24 registration

Descripción del empleo

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.