Compliance Analyst - FCM (Futures Commission Merchant) (copy)
About the position
This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to comply with its obligations under National Futures Association (“NFA†) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA†). In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM’s policies and procedures.
Responsibilities
• Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation.
• Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
• Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
• Assist Operations in the implementation and monitoring of surveillance systems alert rules.
• Assist with the creation, development, and review of surveillance rules, alerts and procedures.
• Identify and investigate regulatory issues that arise from FCM customer activity.
• Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
• Support Compliance in new product and business plan implementations, including compliance training.
• Formulate and implement compliance solutions as well as assess their effectiveness.
Requirements
• Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
• 3+ years in Compliance in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
• Demonstrated ability to successfully multitask and prioritize job responsibilities.
Nice-to-haves
• Knowledge of trade surveillance systems is a plus
Benefits
• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.
Apply tot his job
Apply To this Job
This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to comply with its obligations under National Futures Association (“NFA†) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA†). In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM’s policies and procedures.
Responsibilities
• Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation.
• Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
• Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
• Assist Operations in the implementation and monitoring of surveillance systems alert rules.
• Assist with the creation, development, and review of surveillance rules, alerts and procedures.
• Identify and investigate regulatory issues that arise from FCM customer activity.
• Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
• Support Compliance in new product and business plan implementations, including compliance training.
• Formulate and implement compliance solutions as well as assess their effectiveness.
Requirements
• Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
• 3+ years in Compliance in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
• Demonstrated ability to successfully multitask and prioritize job responsibilities.
Nice-to-haves
• Knowledge of trade surveillance systems is a plus
Benefits
• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.
Apply tot his job
Apply To this Job