Chief Compliance Officer
About the Company
Well-established futures trading platform
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for monitoring and interpreting regulatory requirements from various authorities, developing and maintaining compliance policies and procedures, and conducting regular compliance reviews to ensure adherence to all relevant laws and regulations. This role also involves assessing and mitigating compliance risks, developing risk-based compliance monitoring programs, and providing guidance on compliance-related matters to senior management. Applicants for the Chief Compliance Officer position at the company should have a strong background in compliance, particularly within the financial services industry. The role requires expertise in regulatory requirements and a proven track record in developing and implementing compliance programs. The ideal candidate will have experience in managing regulatory inquiries, preparing for exams, and ensuring the company's compliance with annual requirements. Additionally, the role involves advising on compliance responsibilities specific to non-clearing futures commission merchants and staying abreast of regulatory trends to ensure the business is in line with current practices. A proactive approach to identifying and addressing compliance issues, as well as excellent communication skills to interact with regulatory agencies and senior executives, is essential.
Travel Percent
Less than 10%
Functions
...Job Description Job Description Join Dribbler Soccer: Transform Your Passion for Soccer Into a Rewarding Career! Dribbler Soccer... ...Minimum of 2 years of professional experience coaching or training soccer players of any age. Reliable transportation...
...The Safety Resource Developer is a full-time, non-exempt professional position effective October 1, 2025. Do you have a background in commercial construction with an OSHA 500, and are qualified to teach the OSHA 10 and 30 construction safety courses? Do you believe that...
...including and relevant soft skills and software package proficiencies, are required. team as a medical receptionist for our Madison, WI location. This is a full time postion for up to four to five days per week. Candidates must have exceptional customer service...
...Description Master's degree in Speech-Language Pathology, active SLP license and 1+ year of Speech-Language Pathology experience... ...these qualifications will not be considered. A full-time teletherapy opportunity is available for a Certified Clinical petence Speech...
...correctly into the system then placed in the correct location in the warehouse. Ensures the company remains compliant with local and federal... ...procedures. Other duties, as assigned by the jobholders supervisor, may also be required. Minimum Qualifications:...