Title: Compliance Officer - Futures
Base: Up to $150K, plus Discretionary Bonus
Location: New York, NY- Midtown
Description:
This position will report to the Senior Compliance Officer and will be responsible for:
-Ensuring that the Firm’s Futures department operates in compliance with CFTC and NFA regulations through various proactive surveillance, audit and training functions including: Monitoring and documenting the Firm’s trade flows, order execution and trade reporting functions for best practices and irregularities
-Review of the Firm’s Futures compliance policies and procedures
-Documenting, categorizing and testing the Firm’s surveillance efforts
Qualifications:
-Minimum of 2-3 years experience working with a regulator
-NFA or CFTC experience preferred
-Track record of outstanding achievement in academics, employment, and personal endeavors.
-BS/BA in related field.
Please submit a resume by email, call or send an email to StuartRosenthal@RosenthalRecruiting.com to discuss and learn more about this opportunity.
