Chief Administration Officer
The Head of Compliance and Legal will ensure the firm's compliance with FINRA, CFTC, SEC and other rules and regulations. Other duties include, but are not limited to:
* Work closely with CEO and Senior Management
* Implement and maintain all mandated processes and procedures
* Manage and perform daily, weekly, monthly and quarterly compliance reviews
* Oversee electronic trade reporting for futures, fixed-income and equity securities
* Act as liaison to firm's management to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory or criminal matters
Qualifications:
* Bachelors and JD a MUST
* Series 7, 24 preferred
* 10+ years compliance experience within a
* Superior knowledge of CFTC and FINRA policies and procedures
* Must be a proven leader and have management experience
* Experience with compliance within fixed income, options, institutional/retail, and sales/sales trading
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