Compliance Officer -FCM Advisor

Broker dealer located in Chicago looking to bring on board a “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.