Compliance Analyst - FCM (Futures Commission Merchant)

Job description

This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to comply with its obligations under National Futures Association (“NFA”) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA”). In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM’s policies and procedures. Responsibilities: - Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation. - Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests. - Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts. - Assist Operations in the implementation and monitoring of surveillance...