FCM Compliance Advisory

Join a rapidly growing financial services firm, specializing in the commodities space, as they look to bring on an additional FCM Compliance Advisor

Client Details

Rapidly growing financial services firm that specializes in the commodies market.

Description

• Provide Compliance Advisory services to the Head of FCM Compliance for the FCM (futures commission merchant) business line.
• Complete or assist with US FCM-related regulatory inquiries.
• Complete or assist in preparing US FCM BCAC guidance for management review.
• Collaborate to ensure Compliance Calendar deadlines are met.
• Develop or assist in the creation of US FCM Policies, Procedures, and Written Supervisory Procedures.
• Address FCM Business-related questions.
• Support Desk Heads with FCM compliance matters.
• Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC, and other relevant exchanges.
• Adhere to the operational risk framework, ensuring compliance with all regulatory or company-established parameters.
• Model the highest standards of integrity and conduct, reflecting Company Values.
• Comply with Firm's Code of Conduct at all times.
• Remain fully aware of and adhere to internal policies related to your role and responsibilities.
• Report any policy breaches to Compliance and/or your supervisor as required.
• Escalate risk events immediately.
• Contribute input to risk management processes as necessary.

Profile

• Demonstrate curiosity and a willingness to learn.
• Show resilience in a challenging, fast-paced environment.
• Ability to communicate effectively across geography, business functions, corporate levels, and diverse experience sets.
• Possess unimpeachable character and integrity, ensuring decisions are guided by ethical standards.
• Self-starter with the ability to prioritize and manage multiple deliverables from start to finish.
• Collaborative team player who is approachable, self-efficient, and fosters a positive work environment.
• Strategic collaborator with insight and agility, capable of anticipating future challenges to ensure operational effectiveness.

• Minimum of 5 years of financial industry experience in a legal or compliance role.
• Experience in FCM or FCM regulatory matters.
• Ability to work effectively in a matrix reporting organization.
• Bachelor's degree (JD or other degrees are preferred).
• Previous compliance experience is desired.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment with knowledge of associated risk and compliance requirements.

Job Offer

The opportunity to grow with and significantly influence a high growth financial services firm separating themselves in the market.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.