Futures Compliance Officer VP

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

• Provide direct guidance to the business on trading and sales issues as they arise in real time;
• Perform daily communication surveillance on Sales and Trading personnel;
• Develop and deliver training on a variety of topics relevant to the FCM business;
• Development and drafting of compliance policies and procedures;
• Assist in completion of regulatory requirements such as the CCO Annual Report, Compliance Risk Assessments and NFA Annual self-exam checklist;
• Monitor and document the applicability of regulatory rule changes for the CFTC, NFA and Exchanges;
• Work with front office personnel on new clearing account arrangements, including but not limited to collection of agreements, know-your-customer documents, OFAC screening;
• Monitor customer complaints;
• Investigate and respond to regulatory inquiries, regulatory exams, internal investigations, internal audits;
• Assist the CCO and other Compliance Officers with other projects, as needed; and
• Report to Managing Director/Futures Compliance Officer.

Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on
Print