Broker dealer located in Chicago looking to bring on board a “Executive Director – FCM Compliance Advisory” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in completing US FCM related regulatory inquiries.Complete or assist in completing US FCM BCAC guidance for management review.Collaborate to ensure Compliance Calendar deadlines are achieved.Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.Field FCM Business Questions.Support the Desk Heads with FCM related compliance matters.Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.At all times complying with Code of Conduct.To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.To report any breaches of policy to Compliance and/ or your supervisor as required.To escalate risk events immediately.To provide input to risk management processes, as required.
...the position, associated responsibilities, work experience, education, related training,... ...(On-Site). Telework/Work-from-Home Authorized: No About the Role:... ...duties and responsibilities as listed in the contract. Must be proficient in Microsoft Office...
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...Rental Clerk Opportunity Our dealership is now seeking a dynamic team member with a proven track record in a new & used car automotive environment for our family-owned and operated dealership. We are hiring an experienced Rental Clerk to join our team! Now is the time...