COMPLIANCE OFFICER REGULATORY INVESTIGATIONS recruitment
COMPLIANCE OFFICER
REGULATORY INVESTIGATIONS
Well established global, Chicago- based commodities brokerage firm is looking for a Compliance Officer (or Assistant Director of Compliance, depending on experience) to investigate potential trading violations, monitor the firm’s compliance with exchange and CFTC reporting requirements, and respond to regulatory inquiries, among other responsibilities.
The ideal candidate will have:
- A minimum of three years significant experience working for a futures exchange ( or comparable regulator) conducting investigations into potential violations of CFTC and exchange trading and reporting rules;
- Excellent written communication skills;
- The ability to work independently, and
- A bachelor’s degree
Experience at an FCM or IB using the GMI back office system is a significant plus
Great opportunity to join a growing company in a dynamic industry. Friendly work environment with good benefit package. Downtown office conveniently located near trains. Salary commensurate with experience and qualifications. In confidence please contact our Human Resources Consultant.
Parkway Consulting
pat@parkwayconsulting.com
About Parkway Consulting
Parkway Consulting is a Chicago-based human resources consulting firm, with a broad client base encompassing the financial services industry (including asset classes in futures, equities, options), FCM’s. Broker Dealers, proprietary trading, venture capital, and exchanges.