Job Description

This is a full-time, on-site position for a Senior Compliance Officer in the Chicago area. The Senior Compliance Officer will oversee compliance management and ensure regulatory compliance throughout the firm. This position will require extensive analysis, communicating effectively with internal and external stakeholders, and managing financial compliance processes. 

Requirements: 

• Daily oversight of several components of the firm's compliance program and assist in key projects and efforts  
• Collaborates with the CCO and Compliance team to create the yearly CCO report.  
• Collaborate with departments (e.g., Risk Management, Operations, Accounting) to escalate compliance concerns to appropriate channels for investigation and resolution. 
• Ensure timely and correct regulatory reporting to exchanges and regulatory agencies. 
• Review and approve advertising materials for the firm and its GIBs.  
• Identifies compliance vulnerabilities and risks, creates corrective action plans, and implements controls to ensure long-term compliance.  
• Manage departmental incoming queries and provide timely responses.  
• Offer compliance assistance for new product and sales technical efforts.  
• Coordinate the compliance team's role in evaluating and onboarding prospective introducers. 
• Assist with third-party service provider reviews, both initial and continuing 
• Assist with policy and procedure formulation and maintenance. 
• Active engagement in trade surveillance reviews. 
• Maintains quick and consistent attendance. 

This list of tasks may be expanded to incorporate additional duties as needed.

Qualifications: 

• Expertise?in?compliance?management?and?regulatory?compliance 
• Strong?analytical?skills 
• Effective?communication?abilities 
• 5+?years?of?experience?working?for?an?FCM?or?IB 
• Detail-oriented?and?team-oriented 
• Familiar?with?CFTC?and?NFA?laws 

Interview process: 

• 1st with CCO & Other Senior compliance officer 
• 2nd with the Chief Legal Officer 
• 3rd with CEO (USA)