A prominent Broker-Dealer client of ours is seeking to grow their compliance function by adding an FCM (Futures Commission Merchant) Compliance Officer to their team.
This role is hybrid (3-4 days a week onsite, 1-2 days working remotely per week) and is based in Chicago, IL.
Role / Responsibilities:
- Support broader compliance function by providing regulatory compliance guidance from an advisory capacity for the FCM, IBs (introducing-brokers), GIBs (guaranteed income bonds) and swap dealers
- Complete and support US FCM regulatory inquiries and US FCM BCAC guidance for executive-level review
- Develop US FCM written supervisory procedures as well as regulatory policies and procedures
- Interact with front-office in answering FCM-related inquiries
- Ensure firm is adhering to regulatory requirements as per the SEC, FINRA, NFA, CFTC and other applicable exchanges
- Ensure firm is well-positioned in accordance with company and / or regulatory required parameters
- Support Desk-Heads with FCM-related compliance matters
- 5+ years of experience within the Financial Services industry
This individual must possess subject matter expertise with the futures asset class.
Please apply for inquiries!