Chief Compliance Officer
About the Company
Well-established futures trading platform
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for monitoring and interpreting regulatory requirements from various authorities, developing and maintaining compliance policies and procedures, and conducting regular compliance reviews to ensure adherence to all relevant laws and regulations. This role also involves assessing and mitigating compliance risks, developing risk-based compliance monitoring programs, and providing guidance on compliance-related matters to senior management. Applicants for the Chief Compliance Officer position at the company should have a strong background in compliance, particularly within the financial services industry. The role requires expertise in regulatory requirements and a proven track record in developing and implementing compliance programs. The ideal candidate will have experience in managing regulatory inquiries, preparing for exams, and ensuring the company's compliance with annual requirements. Additionally, the role involves advising on compliance responsibilities specific to non-clearing futures commission merchants and staying abreast of regulatory trends to ensure the business is in line with current practices. A proactive approach to identifying and addressing compliance issues, as well as excellent communication skills to interact with regulatory agencies and senior executives, is essential.
Travel Percent
Less than 10%
Functions
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