Job Description
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
Numbers & Facts
| Location | Chicago, IL |
| Industry | Staffing/Employment Agencies |
| Company Size | 50 to 99 employees |
| Year Founded | 2002 |
| Website | https://phaxis.com/ |
About Company
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
Skills
- Brokerageunmatched
- Calendar Managementunmatched
- Futuresunmatched
- Maintain Complianceunmatched
- Regulationsunmatched
- Regulatory Submissionsunmatched
- Relationship Managementunmatched
- Securities and Exchange Commission (SEC)unmatched
- Swap Marketunmatched
- Time Managementunmatched
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