Compliance Officer – (Derivatives & Futures) recruitment
Day to Day Responsibilities Include:
- Develop and implement various compliance training programs and/or sessions.
- Conduct reviews of various Newedge derivative trading desks to ensure compliance with regulatory rules, Newedge policies, and identify risk within the trading operation procedures.
- Measure and monitor compliance risk within the entity, including but not limited to risk assessments, strengthen the internal control monitoring framework, assist the Department to enhance procedures to comply with regulations etc. Assist management in identifying and containing information risk, compliance risk, and compliance monitoring and fostering a compliance culture.
- Ensure monitoring controls are in place, including processes for management of operational risk, in accordance with Company and regulatory standards.
- Respond to various exchange and regulatory inquiries which include government and subpoena request.
- Maintain familiarity with developments in federal future laws, including awareness of changes in applicable SRO rules and regulations.
- Work with other Newedge Departments and systems to identify any system enhancements that will reduce associated regulatory risks.
- Review advertising, sales literature and correspondence with customers to ensure material is in accordance with SRO rules and firm policies.
- Complete Operational Risk Permanent Supervision Tests on various aspects of the Compliance Department.
- Interact with Newedge affiliate Compliance Staff on global regulatory matters.
- Act as the Newedge Liaison between external Auditors and all Newedge Departments.
- Act as a Compliance Liaison to a specific business line to build regulatory awareness, monitor error trades, and consult on functional procedures.
- Other project as assigned.
Qualifications Include:
- Bachelors Degree or equivalent
- 5+ years experience in futures/derivative compliance and/or with a registered FCM or Broker Dealer.
- Ability to assist personnel in enhancing the existing framework to comply with regulations, monitor and measure the compliance risk in the organization.
- Self organization and ownership. This position will require both short term and long term projects that may involve teams and working groups.
- Strong communication skills required. This position will be forced to communicate complex technical problems to other departments, affiliates, regulators, customers, and Newedge USA, LLC Senior Management.
- Series 3 and 7 recommended.
{i}Newedge is a leading force in global multi-asset brokerage with a world-leading position in the execution and clearing of listed derivative products. Newedge offers access to more than 85 markets and has a presence in 23 locations across 17 countries.{/i}
{i}Newedge offers a full range of execution and clearing services covering options and futures contracts for financial products and commodities, as well as for money market instruments, bonds, FX, equities and commodities on OTC markets. Newedge also provides a range of value added services including prime brokerage, asset financing, electronic trading and order routing, cross margining, and the centralized reporting of client portfolios. {/i}
{i}Supported by two top tier rated shareholders, Société Générale and Crédit Agricole CIB, Newedge is independently run and regulated. {/i}
{i}Newedge is an equal opportunity employer. For more information about Newedge, visit {/i}{i}