One of the oldest and largest futures brokerage and clearing firms is looking for a Compliance Senior Advisory Analyst to join their Chicago team. The candidate in this role will be responsible for performing desk audits, trade surveillance for OTC (block trade, EFRP, and swap) transactions, provide compliance training to front office personnel, and respond to regulatory requests. A successful candidate in this role will have current knowledge of CFTC, NFA, exchange rules, and internal policies. If you have experience in any of the above facets and want to grow your compliance career, apply now!
- Perform OTC and electronic trade reconstruction to ensure all aspects of the trade process (e.g., solicitation, execution, and recordation) are being conducted with exchange rules (NFA, CTFC) and internal policies
- Prepare complete, accurate documentation of compliance monitoring activities
- Conduct oral and electronic communication surveillance of front office personnel to ensure business communications are being conducted in accordance with CFTC, NFA, and exchange rules
- Lead ongoing development and enhancement of monitoring methodologies and standards and track milestones
- Strong understanding of financial market rules regulations, and market structure (e.g., CME, NFA, ICE, and CFTC)
- 3-5 years of experience in a compliance, regulatory, or related financial industry profession
- Clear understanding of trade practice rules, including spoofing, disruptive trading, wash trades, cross trades, and block trades.
- Broad knowledge of principles, practice, and procedures of futures industry regulation
- Bachelors degree in a financial area
- Competitive salary
- Full benefits
- Growth potential
- Hybrid schedule