This role offers the chance to work in an exciting and dynamic environment where your contribution is recognized from day one. You will be exposed to key stakeholders, regulators and business heads, in addition to collaborating with your Risk Management colleagues.
As a Business Aligned Compliance professional, you will join the broader Compliance team covering the Commodities and Global Markets division. This division’s businesses include, but is not limited to, Commodities, Fixed Income and Currencies, Financing, Futures, Credit Markets and Equity Derivatives Trading. In this role, you will report to the New York Commodities and Global Markets Business Aligned Compliance lead and assist in providing guidance to the front office, interact with senior business stakeholders, manage and respond to regulatory inquiries, perform testing of key controls and processes, draft, update and implement Compliance owned policies and procedures, and create and administer training.
About the Risk Management Group
The Risk Management Group (RMG) is an independent, centralized unit responsible for ensuring all risk are appropriately assessed and managed. Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.
Our commitment to Diversity and Inclusion
The diversity of our people is one of our greatest strengths, and an inclusive workplace enables us to embrace that diversity to deliver more innovative and sustainable solutions for our people, clients, shareholders and communities. You’ll be encouraged to be yourself and supported to perform at your best. If you’re inspired to deliver on our purpose of ‘empowering people to innovate and invest for a better future’, we want you on our team. If you need adjustments made to the recruitment process, please reach out to your recruiter.
All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status, genetic information, marital status, gender identity or any other impermissible criterion or circumstance. Client also takes affirmative action in support of its policy to hire and advance in employment of individuals who are minorities, women, protected veterans, and individuals with disabilities.
We equip our people with the support to work in a range of flexible ways. Talk to us about what working arrangements would help you thrive.
Preferred experience includes 3-5 years at a futures commission merchant, regulator (e.g. CFTC/NFA), exchange and/or in swap dealer compliance. Familiarity with US rules and regulations applicable to derivatives and futures trading and drafting of compliance policies and procedures is a must. Strong communication skills are necessary, given you will liaise with various levels of stakeholders and advise the business and related support functions regarding their regulatory requirements. This role will also involve regularly collaborating with other Risk Management functions and global counterparts on compliance projects and initiatives. Strong understanding of futures markets and experience in derivatives (swaps), financing structures, loans, and/or physical commodities is desirable. Knowledge of key applicable rules and regulations, such as Title VII of Dodd Frank, SEC Rule 15a-6, and a general understanding of FINRA and NFA rules are a plus. Having the ability to exercise discretion and work independently are imperative for this role, as are determining priorities and meeting deadlines. If you are looking for a new and exciting challenge and opportunity to grow your career, apply today.