Futures Compliance Officer - Leading Financial Services Firm (Manhattan, KS) in Manhattan, Kansas For Sale
Respond to various exchange and regulatory inquiries which include government and subpoena requestDevelop and implement various compliance training programs and/or sessionsConduct reviews of various derivative trading desks to ensure compliance with regulatory rules and policies, and identify risk within the trading operation proceduresEnsure monitoring controls are in place, including processes for management of operational risk, in accordance with company and regulatory standardsMaintain familiarity with developments in CFTC Rules, including awareness of changes in applicable exchange regulationsWork with other Departments and systems to identify any system enhancements that will reduce associated regulatory risksReview advertising, sales literature and correspondence with customers to ensure material is in accordance with SRO rules and firm policiesInteract with affiliate Compliance Staff on global regulatory mattersAct as the liaison between external Auditors and all DepartmentsAct as a Compliance Liaison to a specific business lines to build regulatory awareness, monitor error trades, and consult on functional proceduresOther project as assignedRequired SkillsAbility to assist personnel in enhancing the existing framework to comply with regulations, monitor and measure the compliance risk in the organizationSelf organization and ownershipAbility to work independently, as well as a part of a teamStrong communication skillsAbility to communicate complex technical problems to other departments, affiliates, regulators, customers, and Senior ManagementStrong knowledge of Futures and derivatives trade reporting rules7+ years experience in futures/derivative compliance and/or with a registered FCM or Broker DealerDesired SkillsKnowledge of Dodd-Frank Act and Futures regulation
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