Compliance Specialist / Paralegal

Compliance Specialist / Paralegal

Website derivativepath Derivative Path, Inc.

Derivative Path is seeking an energetic self-starter that would like to join a rapidly growing firm based in its Chicago, IL office.

Job Description:

The person in this role will handle many of the day-to-day legal and compliance duties for the firm under the supervision of and supporting the General Counsel/Chief Compliance Officer.

Responsibilities:

  • Help create, negotiate and manage trade documentation
  • Respond to client inquiries on legal and compliance issues
  • Assist in the management and implementation of the firm’s compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable laws and regulations
  • Update internal documentation systems
  • Help manage individual and firm regulatory registration requirements
  • Conduct trade reconstruction audit reviews
  • Assist GC/CCO with audits, including providing responses and developing corrective action plans

Minimum Qualifications:

  • Work experience in the financial services industry ranging from 2-5 years
  • Experience with interest rate and foreign exchange derivatives and Dodd-Frank regulation
  • Outstanding communication skills, both oral and written
  • Attention to detail and accuracy

Preferred Qualifications:

  • Experience with ISDA documentation
  • Experience with governmental and regulatory agencies
  • Familiarity with US Treasury Anti-Money Laundering regulations

To apply for this job email your details to compliance@derivativepath.com