Senior Futures Compliance Manager

• Advise business lines on various exchange and regulatory rules to ensure procedures and trading processes are properly established.

• Respond to various exchange and regulatory inquiries which include government and subpoena requests.

• Manage and liaison with exchanges or regulatory bodies on subject reviews and exams.

• Develop and implement various compliance training programs and/or sessions.

• Ensure monitoring controls are in place including processes for management of operational risk in accordance with Company and regulatory standards.

• Work with other Departments and systems to identify any system enhancements that will reduce associated regulatory risks.

• Review advertising sales literature and correspondence with customers to ensure material is in accordance with SRO rules and firm policies.

• Interact with affiliate Compliance Staff on global regulatory matters.

• Act as the Liaison between external Auditors and all Departments.

SKILLS AND QUALIFICATIONS:

Must Have:

• 5 15 years of experience working as a futures compliance officer for a bank broker or dealer or a futures commission merchant or a futures regulatory authority

• Bachelors Degree

• Strong interpersonal and written/verbal communication skills.

• Strong analytical problemsolving and organizational skills.

• Ability to prioritize and work in a dynamic deadlinefocused environment.

• Compliance risk management assessment skills: experienced in the process of assessing the compliance risks associated with a business environment

• Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results

• Leadership: create an inspiring vision set direction and motivate others to follow that direction and reach that vision

• Advanced experience with Microsoft Word Excel and PowerPoint

Nice to Have:

• NFA Futures license (Series 3) is not required but is considered a plus

• Experience with participating in trade practice reviews regulatory exams compliance risk assessment programs and CCO Annual Reports is considered a plus