Job Description

Futures trading platform located in Chicago looking to bring on a new Chief Compliance Officer to join their team. This role is in a hybrid schedule (3 days per week).

Responsibilities :

1. Monitoring and interpreting regulatory requirements from relevant authorities such as the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other regulatory bodies.
2. Developing and maintaining policies and procedures to ensure compliance with applicable laws, rules, and regulations.
3. Conducting regular compliance reviews and assessments to identify potential areas of non-compliance and implementing corrective actions as necessary.
4. Assessing and mitigating compliance risks associated with the company's operations, products, and services.
5. Developing risk-based compliance monitoring programs to identify, assess, and address potential compliance risks.
6. Providing guidance on compliance-related risks to senior management and other senior executives.
7. Serving as the primary point of contact for regulatory agencies and providing guidance to senior management on compliance matters.
8. Investigating and responding to regulatory inquiries, preparing for NFA exams, satisfying annual NFA requirements, and managing internal audits.
9. Managing the review and approval processes for promotional material, sales solicitation, new accounts, trading activity, and customer complaints.
10. Advising the futures business, with a particular focus on compliance responsibilities as a non-Clearing FCM.
11. Identifying regulatory trends and developments, advising the business on how such trends may impact current activities, and working with the business to implement any required changes to current policies or practices.
12. Researching, interpreting, and advising the firm regarding compliance with laws, regulations, and guidance applicable to non-clearing futures commission merchants.

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