Advantage Futures

Compliance

Assist and report to Chief Compliance Officer to ensure all activities are in compliance with laws, rules and regulations of domestic and foreign exchanges, regulators and internal procedures.

Essential Responsibilities:

  • Assist the Chief Compliance Officer in reviewing, maintaining and updating the Firm’s regulatory filings, including those with the SEC and the NFA
  • Respond to inquiries
  • Review marketing materials
  • Coordinate responses to regulatory inquiries and third party examiners
  • Generate and maintain give-up account documentations
  • Assist with new account opening process
  • Training of sales and operations staff to ensure compliance
  • Special projects as necessary

Requirements:

  • Bachelor’s degree in related field.
  • 3+ years of FCM compliance experience.
  • Extensive knowledge of new account documentation process and CFTC, NFA and exchange regulations as well as exchange memberships (application process, leasing seats).
  • Professional certifications, Series 3.
  • Must be able to work well with ever changing priorities and/or situations and with a diverse group of people.
  • Ability to define problems and resolve them quickly.
  • Strong client service focus and interpersonal skills.
  • Superior language and grammar skills.
  • Detail orientated

To apply for any of the positions, please submit your resume and inquiry to:

Peggy Murphy, Senior Vice President, Human Resources
Careers@advantagefutures.com

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