Compliance Officer – FCM Advisor

Our client is seeking a Compliance Officer – FCM Advisor to join the team. This role presents an opportunity to deliver compliance advisory services for FCM as well as related IBs, GIBs, and swap dealers. The successful candidate will play a pivotal role in ensuring all activities align with legal requirements, cultivating a culture of compliance within the organization, and maintaining a transparent relationship with regulatory bodies.

What you'll do:
As a Compliance Officer – FCM Advisor, you will be instrumental in navigating intricate regulatory requirements. Your primary focus will be on delivering real-time compliance advisory services. You will oversee transactions, conduct regular audits, educate employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. You will also address inquiries, provide necessary documentation, and cooperate with regulatory examinations and investigations.
• Assist the Head of FCM Compliance by delivering Compliance Advisory services to FCM business line.
• Complete or assist in completing US FCM related regulatory inquiries.
• Collaborate to ensure Compliance Calendar deadlines are met.
• Develop or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.
• Address FCM Business Questions.
• Support the Desk Heads with FCM related compliance matters.
• Ensure adherence to the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Follow the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.

What you bring:
As a Compliance Officer – FCM Advisor, you bring substantial experience from the financial industry in a legal or compliance role. Your expertise includes FCM or FCM Regulatory experience. You have demonstrated the capability to work in a matrix reporting organization. Your educational background includes at least a Bachelor’s degree (JD or other graduate degree desired). You possess excellent verbal and written communication skills and have prior experience working in a regulated environment.
• 5+ years of experience in the financial industry in a legal or compliance role.
• FCM or FCM Regulatory experience.
• Capability to work in a matrix reporting organization.
• Bachelor’s degree (JD or other graduate degree desired).
• Prior Compliance experience.
• Excellent verbal and written communication skills
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

This opportunity can be either in New York or Chicago.
Salary: $150,000 - $200,000