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.
- 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
- 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:
Tammy Plutz, Human Resources Manager
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