The Compliance Officer will be responsible for monitoring the organization's activities and processes to ensure adherence with all applicable NFA and CFTC rules and regulations.
Essential Duties and Responsibilities
- Daily collaboration with management and staff to clarify regulation issues and distribute information to all company employees
- Serves as the liaison between the company and CFTC, NFA and relevant exchanges
- Manage Anti-Money Laundering training and related processes
- Associated Persons Registrations Process
- Approve all new accounts prior to trading
- Partner with IT Department on Cybersecurity program
- Manage, update and test Disaster Recovery Program
- Review, edit and approve promotional communications for publication
- Regularly audit correspondence via e-mail, instant messaging, web sites and social networking
- Conduct on site compliance audits at Corporate office and all Branch locations
- Prepare and file required regulatory reports
- Attend industry compliance-related events and conventions
- Handle all internal compliance inquiries
- Stay up to date of changes and updates in regulatory/industry trends
Knowledge, Skills, and Abilities
- Ability to interact with various business channels and levels of management
- Ability to effectively transfer information through strong written and verbal communication channels
- Logic and reasoning skills
- Ability to maintain a high level of confidentiality
- Ability to work under pressure
- Ability to multitask, prioritize various duties and pay close attention to details
- Strong reading comprehension skills to thoroughly understand technical and legal documents, Knowledge of legal requirements and procedures
- Ability to interpret laws and regulations
- Bachelor’s Degree in Finance, Accounting, Statistics, Economics, Management or related field
- 3-5 years of Compliance Officer experience
- Experience as an Introducing Broker of Futures Commission Merchant
- Series 3 license OR ability to pass the Series 3 licensing exam within 90 days of hire
- Strong computer skills with experience in Microsoft Office with focus on Microsoft Excel
- Ability to travel 25-50%
- Permanent authorization to work in the U.S. for any employer
All your information will be kept confidential according to EEO guidelines.
