Simplex Trading Appoints Dennis Kerlin as Chief Compliance Officer
Simplex Trading, a leading proprietary market-making firm, has announced the appointment of Dennis Kerlin as its new Chief Compliance Officer (CCO). In this role, Mr. Kerlin will overview the firm’s compliance strategy and governance framework, ensuring Simplex continues to meet the highest regulatory standards while supporting its next phase of strategic growth.
With more than 25 years of experience in compliance across the options trading sector, Kerlin brings a wealth of regulatory expertise and leadership to the position. Since 2011, he has served as , most recently leading the U.S. broker-dealer compliance function for a multinational trading firm within its global compliance team.
His appointment underscores Simplex in building a strong, forward-looking compliance culture that aligns with evolving regulatory expectations and the increasing complexity of global markets.
“We are thrilled to announce Dennis’s at Simplex,” said Nancy Laethem Stern, Managing Director and General Counsel. “Dennis’s industry expertise and proven leadership will further strengthen our firm’s commitment to maintaining the highest standards of management.”
Mr. Kerlin commented, “I’m pleased to join Simplex at an exciting time in its strategic growth. I look forward to contributing to the continued evolution of the firm’s compliance and strategy.”
Takeaway
Experienced Compliance Leadership for a Growing Trading Firm
Kerlin’s career spans over two decades of compliance oversight, primarily within the . His extensive background includes developing and implementing compliance frameworks designed to adapt to quick-evolving regulatory environments. Known for his deep regulatory insight and analytical rigor, Kerlin has played an instrumental role in aligning operational practices with both U.S. and .
He holds a Master of Science in Financial Markets from the Illinois Institute of Technology and a Bachelor of Science in Finance from the University of Illinois at Urbana-Champaign.
Takeaway
About Simplex Trading
Founded in Chicago in 2004, Simplex Trading is a technology-driven, proprietary market-making firm and one of the top equity options. The firm leverages advanced automation, quantitative analysis, and innovative software to maintain its leadership in the competitive options trading landscape.
With a focus on innovation, efficiency, and precision, Simplex Trading combines human expertise with cutting-edge technology to provide liquidity, optimize execution, and . The firm’s continued growth and leadership in market making are supported by its unwavering dedication to compliance and regulatory excellence.
