One of the nations oldest and largest futures brokerage firms is looking to bring on a Compliance Officer to help build out the Broker Dealer function of the firm. Located in Chicago, a successful candidate in this position will provide compliance oversight of all the activities within the firms Broker Dealer. You will be responsible for consulting with all departments at the firm including sales, operations, and marketing regarding any compliance topics or compliant issues. As the SEC and FINRA liaison for the firm, you will also be managing regulatory audits and exams. If you have extensive experience in the compliance field, want to build out an effective compliance program, and want to take the next step in your career, please inquire to find out more.
The Compliance Officer will be responsible for:​
· Providing oversight on Broker Dealer activities
· Developing a compliance program that protects the company from legal and regulatory risk
· Developing an effective compliance training program, including a training curriculum for new and current employees
· Managing regulatory audits and exams
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The Compliance Officer should have the following qualifications: ​
· 5-8+ years of relevant experience ​at a broker dealer
· Knowledge of federal securities laws and regulations
· ​Experience with current SEC and FINRA regulations
· FCM or swap dealer experience preferred but not required
·Series 7 and Series 24 required
Benefits/Perks:​
· Hybrid work model
· Room for growth
· One of the nations top firms
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If you are interested in the Compliance Officer position, please apply now!