Our client, a growing broker dealer is seeking a knowledgeable and detail-oriented FCM Compliance Advisory Specialist to oversee our compliance program and ensure adherence to regulatory requirements for our Futures Commission Merchant (FCM) operations. The ideal candidate will have a strong background in regulatory compliance, risk management, and the futures and commodities markets.

Key Responsibilities:

• Regulatory Compliance: Ensure adherence to all applicable regulations, including CFTC, NFA, and SEC requirements. Keep up-to-date with changes in regulations and adjust compliance strategies as needed.
• Advisory Services: Provide expert advice on compliance matters to senior management, trading teams, and other stakeholders. Develop and maintain compliance policies and procedures for FCM activities.
• Risk Management: Identify and assess compliance risks related to trading activities, operations, and business strategies. Recommend and implement risk mitigation measures.
• Training & Development: Develop and deliver training programs for employees on regulatory requirements, compliance procedures, and best practices.
• Monitoring & Reporting: Conduct regular compliance reviews and audits to ensure that all activities are in line with regulatory standards. Prepare and submit regulatory reports and documentation as required.
• Incident Management: Investigate and resolve compliance issues, including potential violations, and coordinate with regulatory authorities as needed.

Qualifications:

• Education: Bachelor’s degree in Finance, Accounting, Business Administration, or a related field. Advanced degrees or certifications (e.g., CRCM, CFE) are a plus.
• Experience: Minimum of 5 years of experience in a compliance role within the financial services industry, with a strong focus on FCM operations.
• Knowledge: In-depth understanding of FCM regulations, CFTC and NFA rules, and compliance best practices.
• Skills: Excellent analytical and problem-solving skills, strong attention to detail, and the ability to communicate complex regulatory concepts clearly.
• Technology: Proficiency with compliance management systems and Microsoft Office Suite. Experience with compliance software and data analysis tools is a plus.