Chief Compliance Officer

Responsibilities: Monitoring and interpreting regulatory requirements from relevant authorities such as the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other regulatory bodies Developing and maintaining policies and procedures to ensure compliance with applicable laws, rules, and regulations Conducting regular compliance reviews and assessments to identify potential areas of non-compliance and implement corrective actions as necessary Assessing and mitigating compliance risks associated with the company's operations, products, and services Developing risk-based compliance monitoring programs to identify, assess, and address potential compliance risks Providing guidance on compliance-related risks to senior management and the other Senior Executives Serve as the primary point of contact for regulatory agencies and provide guidance to senior management on compliance matters Investigate and respond to regulatory inquiries, preparation for NFA exams, satisfying annual NFA requirements and management of internal audits Manage the review and approval processes for promotional material, sales solicitation, new accounts, trading activity, and customer complaints Advise the Futures business, with a particular focus on Compliance responsibilities as a non-Clearing FCMIdentify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices Research, interpret and advise the firm regarding compliance with laws, regulations, and guidance applicable to non-clearing futures commission merchants