Chris Caldwell is an experienced compliance professional specializing in oversight for broker-dealer entities. Since June 2015, Chris has served as Director of Broker Dealer Compliance at DRW, focusing on establishing and maintaining a compliance and supervisory program for a proprietary algorithmic trading firm. Prior roles include Compliance Officer at OptionsHouse (now part of E*TRADE) and PEAK6 Investments, where Chris managed compliance aspects for online broker-dealers. Chris's background includes positions as Compliance Associate at ABN AMRO Clearing Chicago LLC and Senior Trade Examiner at NYSE Euronext, alongside early experience with FINRA and Thomson Reuters. Chris holds a B.S. in Business Administration from Eastern Illinois University.
This person is not in the org chart
This person is not in any teams
This person is not in any offices