Executive Director of FCM Compliance Advisory
Confidential, Chicago, IL, United States
Executive Director of FCM Compliance Advisory
About the Company
Well-established broker dealer
Industry Insurance
Type Privately Held
About the Role
The Company is seeking an Executive Director for FCM Compliance Advisory. The successful candidate will be responsible for supporting the Head of FCM Compliance by providing essential compliance advisory services to the FCM business line. This includes completing and assisting in US FCM-related regulatory inquiries, BCAC guidance, and ensuring that compliance calendar deadlines are met. The role also involves the creation and development of US FCM policies, procedures, and written supervisory procedures, as well as fielding FCM business questions and supporting desk heads with compliance matters.
Applicants for the Executive Director - FCM Compliance Advisory position at the company should have a strong background in FCM compliance, with a deep understanding of regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges. The role requires a high level of integrity, conduct, and adherence to company values, as well as the ability to operate within the established risk framework. The ideal candidate will be a proactive problem-solver, capable of ensuring that all operational and regulatory parameters are complied with, and will be expected to be a role model for the highest standards of conduct. A key aspect of the position is the ability to escalate and report any policy breaches or risk events and to provide input to risk management processes as necessary.
Hiring Manager Title Head of FCM Compliance
Travel Percent Less than 10%
Functions
CEO/President Non-Profit Management Finance
About the Company
Well-established broker dealer
Industry Insurance
Type Privately Held
About the Role
The Company is seeking an Executive Director for FCM Compliance Advisory. The successful candidate will be responsible for supporting the Head of FCM Compliance by providing essential compliance advisory services to the FCM business line. This includes completing and assisting in US FCM-related regulatory inquiries, BCAC guidance, and ensuring that compliance calendar deadlines are met. The role also involves the creation and development of US FCM policies, procedures, and written supervisory procedures, as well as fielding FCM business questions and supporting desk heads with compliance matters.
Applicants for the Executive Director - FCM Compliance Advisory position at the company should have a strong background in FCM compliance, with a deep understanding of regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges. The role requires a high level of integrity, conduct, and adherence to company values, as well as the ability to operate within the established risk framework. The ideal candidate will be a proactive problem-solver, capable of ensuring that all operational and regulatory parameters are complied with, and will be expected to be a role model for the highest standards of conduct. A key aspect of the position is the ability to escalate and report any policy breaches or risk events and to provide input to risk management processes as necessary.
Hiring Manager Title Head of FCM Compliance
Travel Percent Less than 10%
Functions
CEO/President Non-Profit Management Finance