Junior Compliance Analyst

About Akuna:

Akuna Capital is an innovative trading firm with a strong focus on collaboration, cutting-edge technology, data driven solutions, and automation. We specialize in providing liquidity as an options market-maker – meaning we are committed to providing competitive quotes that we are willing to both buy and sell. To do this successfully, we design and implement our own low latency technologies, trading strategies, and mathematical models. 

Our Founding Partnersfirst conceptualized Akuna in their hometown of Sydney. They opened the firm’s first office in 2011 in the heart of the derivatives industry and the options capital of the world – Chicago. Today, Akuna is proud to operate from additional offices in Sydney, Shanghai, London, and Singapore.

What you’ll do as a Junior Compliance Analyst at Akuna:

Akuna is looking for a Junior Compliance Analyst to join its team. This person will assist and support the Compliance team in ensuring Akuna meets its regulatory obligations. Well qualified candidates will have a general understanding of options and futures products, equities, and cryptocurrency, possess strong analytical skills, have a strong attention to detail, and willingness to engage and effectively communicate with the Trading team. In this role, you will:

• Monitor surveillance systems daily to detect potential market manipulation, spoofing, wash trading, and other abusive trading practices
• Conduct daily reviews of trading activity, alert escalations, and flagged patterns
• Investigate suspicious trading behavior and prepare detailed investigative reports 
• Support regulatory examinations and audit requests
• Document compliance procedures and maintain policy and procedure updates
• Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
• Manage the Firm’s outside brokerage account process, including insider trading and anti-money laundering reviews

Qualities that make great candidates:

• 1-3 years of relevant work experience
• Series 57 preferred, but not required (willingness to take and pass within 90 days of hire)
• Knowledge of trading markets, various asset classes and products
• Ability to apply rule-based analysis to trading activity
• Able to work on multiple projects and assignments at the same time and prioritize appropriately
• High standard of accuracy and excellent attention to detail
• Proficiency in Excel required; familiarity with SQL or data analysis tools is a plus
• Experience with FINRA, SEC, and/or CFTC regulations preferred

Please note the expectation for this role is to work onsite in our Chicago office on a hybrid basis - 4 days per week in the office during your first 90 days, and 3 days per week thereafter.

In addition to technical skillsets, Akuna values the unique perspectives people can bring to the table to collaboratively solve complex problems and drive Akuna forward. We want all groups to feel empowered to apply, even if you don’t meet every qualification. We welcome your application and encourage you to take the first steps toward your future with us!

In accordance with Illinois Equal Pay Act, the minimum base salary starts at $75,000. Exact compensation offered may vary based on many factors including, but not limited to, the candidate’s experience, qualifications, and skill set. This role is also eligible for a discretionary performance bonus as part of the total compensation package and includes a comprehensive benefits package that may encompass employer-paid medical, dental, vision, retirement contributions, paid time off, and other benefits. The minimum base salary herein was determined in good faith by Akuna Capital LLC.