Commodities & Futures Compliance Officer recruitment
My client, a large multinational bank, is seeking a Commodities Futures Compliance Officer that has experience working with commodities (physical, energy, agricultural and metals), derivatives (interest rates, equity, and foreign exchange) and futures. This individual will ensure the firm’s compliance with internal policies, the SEC, Federal Reserve Bank, NYSBD, NFA and CFTC.
Duties
• Track regulatory changes, drafting and update policies and procedures as appropriate
• Act as subject matter expert in commodities, futures and derivatives trading rules
• Monitor, interpret, assess and implement the requirements of the Dodd-Frank Act as it applies to the businesses
• Conduct daily, weekly and monthly review of Futures and Foreign Exchange Surveillance
• Develop and implement various compliance training programs
• Provide advice with respect to a wide variety of regulatory and legislative developments relating to derivatives markets, relating to the relevant rules and regulations associated Dodd-Frank Act
• Respond to and field Inquires from various regulators, including the SEC, Federal Reserve Bank, NYSBD, NFA and CFTC.
Requirements
BA/BS is a must, JD is a plus
At least 5 years compliance experience in the Futures Derivatives Space
Strong Commodities and Futures product knowledge
Knowledge of market rules regulations (e.g. FRB, NASD/FINRA, SEC, etc.)
Experience working at the FINRA/CFTC/NFA is a plus
If qualified, please send your resume .Compensation: commensurate with experience, up to $150K plus bonus
.