Broker dealer located in Chicago looking to bring on board a 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.
Compliance Officer – FCM Advisor
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Support the Head of FCM Compliance by providing Compliance Advisory services to ...
VP Compliance Officer -FCM Advisor
Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. Support the Desk Heads with FCM related compliance ...
Compliance Officer – FCM Advisor
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Support the Head of FCM Compliance by providing Compliance Advis...
Compliance Officer -FCM Advisor
Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. Broker dealer located in Chicago looking to bring on board a “Compliance Officer -FCM Advisor” to join their team. Support the Desk Heads with FCM related compliance matte...
BDO Capital Advisors, President & Chief Compliance Officer
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The individual in this role will be focused on leading the middle market investment bank ...
Associate Athletic Director for Compliance
The Director certifies eligibility and processes financial aid for student-athletes, monitors coaches' activities relative to rules compliance, and interacts with departmental staff members and coaches to ensure compliance with. Associate Athletic Director for Compliance. Associate Athletic Director...
Executive Director - Compliance
Executive Directors are a client’s key contact throughout their compliance process. Executive Directors need strong interpersonal skills offering and the ability to develop excellent client relationships through interactions with both junior and executive level client personnel. Executive Dire...
Construction Compliance Manager
Under administrative direction, directs, manages, supervises, and coordinates the activities and operations of the Construction Compliance Division within the Public Works Department including the construction of Capital Improvement Projects and Housing Development Projects; manages private developm...
Compliance and Risk Management Specialist
Compliance and Risk Management Specialist. Heartland Human Care Services (HHCS) is seeking a proactive and detail-oriented Compliance and Risk Management Specialist to join our team. Reporting to the Director of Compliance and Risk Management, you will play a critical role in safeguarding the organi...
Director of Security Compliance
Being a Director of Compliance at iManage Means… . At iManage, security is at the heart of our cloud-native platform, and you will be responsible for all elements of our security compliance program. Here is what one of our leaders, Head of Security (Jim Krev), has to say about the role: ...