Futures trading platform located in Chicago looking to bring on a new "Chief Compliance Officer" to join their team. This role is in a hybrid schedule (3 days per week).
Responsibilities:
Monitoring and interpreting regulatory requirements from relevant authorities such as the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other regulatory bodiesDeveloping and maintaining policies and procedures to ensure compliance with applicable laws, rules, and regulationsConducting regular compliance reviews and assessments to identify potential areas of non-compliance and implement corrective actions as necessaryAssessing and mitigating compliance risks associated with the company's operations, products, and servicesDeveloping risk-based compliance monitoring programs to identify, assess, and address potential compliance risksProviding guidance on compliance-related risks to senior management and the other Senior ExecutivesServe as the primary point of contact for regulatory agencies and provide guidance to senior management on compliance mattersInvestigate and respond to regulatory inquiries, preparation for NFA exams, satisfying annual NFA requirements and management of internal auditsManage the review and approval processes for promotional material, sales solicitation, new accounts, trading activity, and customer complaintsAdvise the Futures business, with a particular focus on Compliance responsibilities as a non-Clearing FCMIdentify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practicesResearch, interpret and advise the firm regarding compliance with laws, regulations, and guidance applicable to non-clearing futures commission merchants
