Senior Compliance Officer

Broker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers.

Responsibilities

• Serve as the primary compliance advisor to front-office teams on day-to-day FCM business activities and questions
• Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line
• Draft, review, and enhance FCM Policies and Procedures and Written Supervisory Procedures
• Support Desk Heads on FCM-related compliance matters
• Review new business initiatives, products, and markets through the US FCM BCAC review process to confirm compliance prior to launch
• Track and meet Compliance Calendar deadlines in coordination with the broader team
• Ensure ongoing compliance with SEC, Client, NFA, CFTC, and applicable exchange requirements