Compliance Officer

The Compliance Officer will be responsible for monitoring the organization's activities and processes to ensure adherence with all applicable NFA and CFTC rules and regulations.

Essential Duties and Responsibilities

• Daily collaboration with management and staff to clarify regulation issues and distribute information to all company employees
• Serves as the liaison between the company and CFTC, NFA and relevant exchanges
• Manage Anti-Money Laundering training and related processes
• Associated Persons Registrations Process
• Approve all new accounts prior to trading
• Partner with IT Department on Cybersecurity program
• Manage, update and test Disaster Recovery Program
• Review, edit and approve promotional communications for publication
• Regularly audit correspondence via e-mail, instant messaging, web sites and social networking
• Conduct on site compliance audits at Corporate office and all Branch locations
• Prepare and file required regulatory reports
• Attend industry compliance-related events and conventions
• Handle all internal compliance inquiries
• Stay up to date of changes and updates in regulatory/industry trends

Knowledge, Skills, and Abilities

• Ability to interact with various business channels and levels of management
• Ability to effectively transfer information through strong written and verbal communication channels
• Logic and reasoning skills
• Ability to maintain a high level of confidentiality
• Ability to work under pressure
• Ability to multitask, prioritize various duties and pay close attention to details
• Strong reading comprehension skills to thoroughly understand technical and legal documents, Knowledge of legal requirements and procedures
• Ability to interpret laws and regulations

• Bachelor’s Degree in Finance, Accounting, Statistics, Economics, Management or related field
• 3-5 years of Compliance Officer experience
• Experience as an Introducing Broker of Futures Commission Merchant
• Series 3 license OR ability to pass the Series 3 licensing exam within 90 days of hire
• Strong computer skills with experience in Microsoft Office with focus on Microsoft Excel
• Ability to travel 25-50%
• Permanent authorization to work in the U.S. for any employer

All your information will be kept confidential according to EEO guidelines.