Senior Compliance Officer, FCM Advisor (VN2537)
$150,000–$180,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Provide FCM compliance advisory support to front office teams and field business questions across day-to-day activities. Lead preparation and submission of key regulatory filings while managing regulatory relationships and inquiries for the US FCM business line. Review, draft, and enhance US FCM Policies and Procedures, ensuring full compliance with SEC, FINRA, NFA, CFTC, and other applicable exchange requirements. Collaborate to ensure Compliance Calendar deadlines are met and support Desk Heads with FCM-related matters. Review new business initiatives and markets to ensure full compliance before launch through the US FCM BCAC management review process.
Required Qualifications
- Bachelor's Degree in Finance, Economics, Business, or other related field
- Existing compliance experience in a financial markets context
- Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this
- Basic understanding of financial markets
- Data analysis and interpretation skills
- Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.)
- Organizational and time-management skills
- Excellent verbal and written communication skills
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.