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VP Compliance Officer

3 months ago

chicago, United States Madison-Davis, LLC Full time

A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office / week).


Responsibilities:

  • Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.
  • Complete or assist in completing US FCM related regulatory inquiries.
  • Complete or assist in completing US FCM BCAC guidance for management review.
  • Collaborate to ensure Compliance Calendar deadlines are achieved.
  • Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.
  • Field FCM Business Questions.
  • Support the Desk Heads with FCM related compliance matters.
  • Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
  • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
  • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
  • At all times complying with Code of Conduct.
  • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
  • To report any breaches of policy to Compliance and/ or your supervisor as required.
  • To escalate risk events immediately.
  • To provide input to risk management processes, as required.