Chief Compliance Officer

Found in: Jooble US O C2 - 3 weeks ago

Chicago IL, United States StoneX Group Full time
Overview:

Serve as the leader in all aspects of compliance associated with the swap dealer and partner with various business units to aid in achieving their objectives. Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firms compliance and regulatory obligations. Responsible for identifying areas of compliance improvement, strategize solutions to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations. In addition to leading the oversight of the swap dealer compliance program, the CCO will provide management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firms training program, coordinate and oversee regulatory exams and requests and prepare the annual CCO report.

Responsibilities:

Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks

Responsible for ensuring adequate policies and procedures are in place for all swap dealer activities

Identity and resolve any conflicts of interest that may arise

Responsible for the administration of the swap dealer compliance training program

Preparation and filing of the annual CCO report

Serve as a lead compliance coordinator for regulatory requests and examinations (CFTC & NFA)

Assist Management with strategic projects and initiatives

Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with Corporate Counsel as needed to resolve difficult legal/compliance issues

Serve as the lead point of contact for internal inquiries from other teams and business units

Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future

Provide compliance support for new product, sales and technical initiatives

Qualifications:

Bachelors degree in Finance or Business

7 to 10+ years of direct swap dealer compliance experience. Prior experience at a regulator, private firm or both required

Expert knowledge of CFTC, NFA, and swap dealer rules required

Demonstrated ability working collaboratively with people in connection with challenging issues

Strong organization skills along with attention to detail

Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment

Ability to effectively present information and respond to questions from managers, customers, and the general public via effective written and oral communication skills

Skilled in researching, interpreting, and disseminating information on compliance regulations and laws

Ability to work independently

Demonstrated proficiency using Microsoft Office

Must be available for travel as needed anticipated 5%- 15% of the time but potentially 25% at times

Must be authorized to work in the US for any employer

Maintains prompt and regular attendance

Location/Working conditions:

Hybrid work schedule requiring a minimum of 3 days per week in office

Chicago, NJ or NY office location

Climate controlled office environment

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