About the company
IMC is a leading trading firm, known worldwide for our advanced, low-latency technology and world-class execution capabilities. Over the past 30 years, we’ve been a stabilizing force in the financial markets – providing the essential liquidity our counterparties depend on. Across offices in the US, Europe, and Asia Pacific, our talented employees are united by our entrepreneurial spirit, exceptional culture, and commitment to giving back. It's a strong foundation that allows us to grow and add new capabilities, year after year. From entering dynamic new markets, to developing a state-of-the-art research environment and diversifying our trading strategies, we dare to imagine what could be and work together to make it happen.
Job Summary
Your Core Responsibilities:
📍Partner with the Compliance Team to drive IMC’s regulatory vision and compliance efforts 📍Promote the Firm’s Compliance culture, awareness of regulatory developments, and best practices 📍Monitor trading activity using the Firm’s in-house surveillance systems 📍Provide operational support for key external Compliance data reporting platforms (e.g. Consolidated Audit Trail, MiFID Transaction Reporting, Futures Audit Trail, and TRACE) 📍Investigate regulatory reporting exceptions, identifying root causes, and driving the necessary corrective actions 📍Implement Compliance onboarding and offboarding procedures, including the Registered Rep registration process (e.g. Forms U4 and U5, fingerprints, and address changes) 📍Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis 📍Conduct reviews of employee personal trading, including new account set up, pre-clearance requests, exception review, and FINRA 3210 letters 📍Maintain detailed, accurate, and organized documentation of execution of the Firm’s processes and procedures
Your Skills and Experience:
📍1 to 5 years of experience working for a proprietary trading firm, exchange, regulatory organization, broker dealer, futures commission merchant, or similar organization 📍A Bachelor’s degree 📍FINRA Series License SIE and 57 will be required within 1 year of employment 📍Knowledge of basic financial industry business knowledge and interest in the U.S. regulatory environment for trading firms
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