Search using our robust engine. Get the recommendations you need to get ahead.
Browse through our expansive list of legal practice areas.
Work where you are or where you would like to be. Find where you will work with LawCrossing.
Use our marketplace to feature your opportunity
Start your search today
Set up your account and manage your company profile on LawCrossing
Look through and compare company profiles
Learn from the legal expert
Discover salaries and the scope of your next job
LawCrossing Works Read Testimonials and Share your Story
Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 5 yrs required
Senior Compliance Officer - Equities The candidate will serve as an Equity Compliance Officer within company's Institutional Client Group (ICG), supporting Sales and Trading and general operations in Exchange Traded Derivatives (ETD), Futures, Cleared OTC, SEFs, FCM Financial Requirements, LSOC, and DCO Operations. Primary responsibilities include providing day-to-day Compliance advice relating to trading, sales practices, operations, financial requirements, position limits, and guidance on ETD regulatory rules/laws. Provide guidance on rules and regulations relating to trading, sales practices, and operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies. Draft compliance policies and procedures. Assist with regulatory inquiries and/or examinations. This may include coordination with Regulators including, but not limited to CFTC, NFA, CME Group, ICE US, ICE Clear Credit, LCH, Federal Reserve, FINRA, and SEC. Collaborate with other internal areas including: Legal, Sales Management, Operations, Financial Control, Technology, Control Units, In-Business Risk and Market Surveillance to address compliance issues which may impact the ETD business. Support the business in performing timely compliance reviews of new transactions, products and/or methods for effectuating trading. Assist in the development and administration of Compliance training for the ETD business. Research CFTC and swaps/derivatives reform rules/rule changes and implement policies, procedures or other controls necessary to comply with the rules.
Qualification and Experience
The candidate should have a Bachelor's degree. MBA or J.D. degree a plus. FINRA registrations (e.g. Series 3, 7, 63, 24) a plus. Past or current product compliance work experience with Futures, OTC Cleared and ETD products, and derivatives required. Strong knowledge of CFTC, NFA, Futures Exchanges, and OTC Cleared CCPs regulatory rules relating to ETD products required. Strong knowledge of derivatives rulemaking promulgated under Title VII of the Dodd-Frank Act essential. Knowledge of bank regulatory rules/regulations touching on broker-dealer activities (E.g., Reg. W, Reg. R) a plus. Must have a strong working knowledge of Exchange Traded Derivatives and the related operations and financial requirement.
Ref. #: 15090909
Sign Up Now