A top institutional-grade financial services firm is looking for a Director of Compliance to work hybrid out of their Chicago office! The Director of Compliance will work alongside the CCO and be responsible for overseeing the various components of the firms compliance program. A successful candidate in this position will have existing knowledge of CFTC, NFA, and exchange rules. If you're looking to make the jump in your compliance career, and great at adapting to a fast paced environment, apply here now!
Responsibilities:
- Serve as the lead compliance coordinator for and CFTC, NFA, or DSRO regulatory audits
- Ensure required regulatory filings with exchanges and/or regulatory bodies are made accurately and timely
- Serve as the primary compliance reviewer for customers engaged in last trading day and deliveries
- Coordinate the compliance team involvement in the prospective introducer vetting and onboarding process
- Identifies potential areas of compliance vulnerability and risk; develops and/or implements corrective action
Qualifications:
- 5-10 years of compliance experience in commodities derivatives
- Strong knowledge of CFTC, NFA, & Exchange rules
- Bachelors degree
- Strong attention to detail and ability to work in a fast-paced environment
