Compliance Associate

2 weeks ago

Chicago, United States Chicago Financial Search, Inc. Full time

Compliance Associate

Chicago - Onsite

This role is onsite and requires a candidate local to the Chicagoland area.


About The Role:

We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You are expected to have specific expertise in all facets of commodity futures regulation with a certain understanding of CTFC regulation, including but not limited to net capital rules, customer protection and segregation rules and AML policy, etc. You will also assist the CCO to ensure that all processes are in place to maintain, review, test and modify written compliance policies.


What You’ll Do:

Coordinate the initial regulatory registrations and regulatory proficiency tests for employees with the NFA including getting the necessary information from the individual, coordinating background checks and submitting the application.

Coordinate the enrollment of applicable Firm new hires into required regulatory trainings including AML, Cybersecurity, and ethics training, as applicable

Coordinate the annual training requirements including AML, cybersecurity, segregated funds, and periodic ethics training requirements as well as other training programs the Firm undertakes

Participate in the completion of the annual compliance audit by the firm's designated self-regulatory organization

Coordinate with the CCO to administer the annual anti-money laundering compliance audit

Assist CCO to perform AML and KYC check for new on-boarding clients and existing clients and assist with the new account documentation process and coordinate the maintenance and filing of required policies, procedures, and records

Assist with third-party service provider reviews and performs the necessary AML checks for client’s deposit and withdrawal procedures

Respond to regulatory requests as required.

Collaborates with other departments (e.g., Risk Management, Finance and Settlement, etc.)



What We’re Looking For:

Bachelor's degree in Finance or Business or equivalent years’ experience in finance, compliance, or auditing preferred; Familiarity with commodity derivatives preferred

Working experience: minimum of three (3) years relevant work experience at a futures commodity merchant or related businesses is required;

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

Strong organizational, interpersonal and communication skills and Microsoft Office skills;

The candidate should be a team player with the ability to work with diverse personalities. The candidate should have a multi-tasking ability to complete projects within tight time constraints and adapt quickly as needs change.







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