Sr. FCM Advisor Compliance Officer
Sr. FCM Advisor Compliance Officer
New York, NY - Onsite
About The Role:
Seeking a Senior FCM Compliance Officer to provide real-time compliance advisory support to FCMs, IBs, GIBs, and Swap Dealers. The role primarily focuses on providing real-time compliance advisory services.
What You’ll Do:
- Provide FCM compliance advisory support to Front Office and Desk Heads.
- Manage regulatory filings, inquiries, and relationships for the U.S. FCM business.
- Draft, review, and maintain FCM Policies, Procedures, and WSPs.
- Advise on FCM business and compliance questions.
- Review new products, markets, and initiatives for regulatory compliance.
- Coordinate Compliance Calendar requirements and deadlines.
- Ensure compliance with SEC, FINRA, NFA, CFTC, and exchange regulations.
- Follow operational risk, conduct, and internal compliance requirements.
- Escalate policy breaches and risk events promptly.
- Support risk management processes and regulatory obligations.
What We’re Looking For:
- Bachelor’s degree in Finance, Economics, Business, or related field required.
- 3+ years of practical experience in this type of role.
- Curious, resilient, adaptable, and proactive.
- Strong communication, relationship-building, and influencing skills.
- High integrity, sound judgment, and professional conduct.
- Collaborative team player with strong organizational and prioritization skills.
- Strategic thinker with strong problem-solving and business insight.
- Understanding of financial markets and regulated environments.
- Financial markets compliance experience required.
- Strong data analysis and interpretation skills.
- Proficient in Microsoft Office (Word, Excel, Outlook).
- Excellent verbal and written communication skills.
- Strong time management and ability to manage multiple priorities.
OOJ-1489G
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