A leading global financial services company is looking to bring on a top tier compliance officer to join the team out of the Chicago office! This position would work closely with different business lines to take care of any regulatory matters that may arise. This candidate must have experience with various industry regulatory bodies including FINRA, CFTC, NFA, and CME. This position requires a candidate with leadership qualities who will help to create an inspiring vision and motivate others to follow that vision.
Responsibilities:
- Manage the regulatory inquiry and examination process
- Assist with training firm staff in regard to derivatives regulation, advisories, & anything identified by the compliance team
- Internal investigations of various derivative trading desks to ensure compliance with regulatory rules
- Represent the compliance department at internal and external meetings
- Participate in the firms Regulatory Change Program
Qualifications:
- 5+ years of relevant experience
- Direct experience with exchange and regulatory rules
- Experience with CFTC customer protection rules and practices
- Knowledge of specific complex trade practice rules
- Able to communicate the firms operating procedures to regulatory bodies and examiners
Benefits:
- Full benefits (medical, dental, vision, 401k)
- Competitive salary
- Hybrid work model
