Vice President, Trade Floor Supervision
My client is looking to hire a compliance professional with multiple years' experience handling compliance supervision within the trading space, specifically commodities (energy and metals).
- Interpret rules to develop and implement reports and surveillance
- Validate activity, document findings, and escalate when regulatory requirements are not met
- responsible for the monitoring and supervision of the Commodities Products Group to ensure the business is operating in accordance with regulatory requirements, specifically, the CFTC, NFA, NYMEX, COMEX, ICE Futures, CME, Montreal Bourse Rules, FRB, OSFI, etc.
- Must have a solid understanding of CFTC Large Swap Trader Reporting Rules, 102S Filing, Portfolio Compression Exercises, Swap Data Reporting, Swap Execution Facilities, MAT products and the regulatory obligations associated with the Commodity Trading Desk and the development and/or maintenance of a first line of defense for Market Behavior and Prohibited Trade Practices.
- Commodities product knowledge
- Understanding of banking regulations
- Multiple years of compliance/ regulatory experience
- Advanced degree and/or FINRA licensing preferred