A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities:
- Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.
- Complete or assist in completing US FCM related regulatory inquiries.
- Complete or assist in completing US FCM BCAC guidance for management review.
- Collaborate to ensure Compliance Calendar deadlines are achieved.
- Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.
- Field FCM Business Questions.
- Support the Desk Heads with FCM related compliance matters.
- Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
- Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
- Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
- At all times complying with Code of Conduct.
- To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
- To report any breaches of policy to Compliance and/ or your supervisor as required.
- To escalate risk events immediately.
- To provide input to risk management processes, as required.
