Required Skills & Experience:
• Law / Juris Doctor (JD) degree or equivalent legal qualification PREFERRED.
• Minimum of 6 years of experience in compliance within financial brokerages, FCM, futures trading, or trading software.
• Extensive knowledge of CME, CFTC, FTC regulations and other relevant regulatory bodies.
• Proven track record of managing compliance programs and conducting audits.
Job Description:
A client of Insight Global is seeking a highly experienced Compliance officer to join their team. The ideal candidate will be a lawyer or possess senior experience within financial brokerages, Futures Commission Merchants (FCM), futures trading, or trading software. This role requires deep industry knowledge and experience with regulatory bodies such as CME, CFTC, FTC, etc.
Responsibilities:
• Develop, implement, and oversee compliance policies and procedures to ensure adherence to regulatory requirements.
• Monitor and interpret regulatory changes and ensure the company’s compliance with all applicable laws and regulations.
• Conduct regular audits and risk assessments to identify areas of improvement and ensure compliance.
• Collaborate with legal and operational teams to address compliance issues and implement corrective actions.
• Provide training and guidance to staff on compliance matters.
• Liaise with regulatory bodies and maintain strong relationships to ensure smooth communication and compliance.
• Prepare and submit regulatory reports and filings as required.
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