Senior Compliance Strategist – Options Trading (Hybrid)

Peak6 Investments LLC; Chicago (IL); Hybrid; USD 117,000 - 147,000; Full time

Benefits offered by this job

Healthcare benefits

PTO

401k match

Parental leave

HSA match

Calm app subscription

Tuition reimbursement

Hybrid remote (up to 2 days)

Job summary

Peak6 Investments LLC is seeking a Senior Compliance Analyst to join our Compliance Department and help design, implement, and oversee a robust firm-wide compliance program for an options market making and proprietary trading broker-dealer environment.

You will lead policy development, training, and risk assessments while ensuring adherence to SEC, FINRA, and CBOE rules. The role supports hybrid work and requires strong project management and communication skills.

Qualifications

• Minimum 5+ years of relevant compliance experience.
• Strong knowledge of U.S. broker-dealer rules (CBOE, SEC, FINRA).
• Series 57 or required to obtain within 90 days; Series 24 license.
• Experience with CRD, Global Relay and ComplySci is a plus.

Responsibilities

• Ensure policies reflect firm practices and are current and robust.
• Develop and deploy compliance training for staff.
• Manage firm-wide compliance requirements and handle information barrier issues, conflicts, and disclosures.
• Evaluate and redesign processes to strengthen internal controls and reduce risk.
• Conduct comprehensive reviews and risk assessments of activities and controls; propose corrective actions.
• Oversee surveillance and testing plans; prepare management reports on status.

Skills

Regulatory compliance

SEC rules

Broker-dealer compliance

Project management

Leadership

Communication

MS Office

Series 57 license

Series 24 license

CRD experience

FINRA rules

Vendor management

Tools

CRD database

Global Relay

ComplySci

Job description

Peak6 Investments LLC is seeking a Senior Compliance Analyst to join our Compliance Department and help design, implement, and oversee a robust firm-wide compliance program for an options market making and proprietary trading broker-dealer environment.

You will lead policy development, training, and risk assessments while ensuring adherence to SEC, FINRA, and CBOE rules. The role supports hybrid work and requires strong project management and communication skills.