Director – FX And Commodities Compliance

Full Time

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.
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