Compliance Officer

📋 Description

• Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules.
• Provide advice and guidance to business partners on existing and new products.
• Maintain firm registration; track AP licensing requirements.
• Assist the CCO with responding to NFA and CFTC inquiries, audits, and examinations; coordinate
• Review marketing materials and customer communications for compliance with NFA Marketing Compliance
• Deliver training on compliance requirements and best practices.

🎯 Requirements

• Bachelors degree in Finance, Business, Law, or related field
• 5+ years of compliance experience in retail forex, futures, or derivatives/securities
• Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs and Forex Dealer
• Strong understanding of AML/BSA requirements in financial services
• Excellent written and verbal communication for regulatory correspondence and policy drafting
• Ability to work cross-functionally with trading desk, operations, IT and legal teams

🎁 Benefits

• Performance Bonuses
• Stock Purchase Options
• Medical/Vision/Dental Benefits
• 401k Plan
• Paid vacation and sick days
• Gym Membership Reimbursement