Broker Dealer Client
Office Status: Hybrid (1-2 days per week in office)
Responsibilities:
- Provide day to day strategic advice and guidance to front office personnel in the Firms FX and Commodities groups.
- Knowledge and experience with physical and OTC commodities, FX spot and derivatives.
- Design, develop, deliver and maintain a best-in-class program, policies, and practices globally for FX and Commodities.
- Collaborate with Compliance personnel in other jurisdictions to coordinate efforts across the business.
- Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current or new business activities.
- Provide regulatory/compliance training.
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators CME, NFA, CFTC.
- Conduct compliance risk assessments to ensure effective business control framework.
- Provide ongoing reporting to senior management.
- Develop and deliver proactive strategies and tactics that support compliance/business objectives.