Futures Advisory Compliance Officer
Salary $130000 - $165000 per year
Location New York
Consultant Lucky Nguyen
Date posted April 19, 2017
A prestigious investment bank is looking to add a compliance officer to their FCM compliance advisory team.
About the Futures Advisory Compliance Officer:
This compliance officer will be giving real time advice to the front office within the Futures team. Only candidates with a strong background in futures will be considered. Experience dealing with compliance issues from an advisory or surveillance perspective is highly preferred.
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the Futures desk
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Point of contact for regulatory inquiries when required, prepare regulatory filings when necessary and assist management to handle all regulatory audits and exams
- Assess the impact of legislative changes to the financial markets sector, and ensure the business units are fully informed
- Be the main point of contact for the business with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
This position will be working very closely with the front office and reporting into a hiring manager who is a well respected practitioner in the compliance industry.
This opportunity is with a very well known broker/dealer that is performing exceptionally well in the market.
Apply today or call me, Lucky Nguyen, on 212-704-9900