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Role:
A Compliance Officer-Regulatory & Reporting is responsible for ensuring all applicable personnel (and affiliates) meet the reporting and regulatory requirements of all exchanges, the NFA and the CFTC. The Compliance Officer will do this by replying to inquiries, performing surveillance of various systems, and reviewing/approving all necessary requests from other departments.
Responsibilities:
Coordinate and submit replies to subpoenas and other inquiries from the NFA, exchanges or CFTC
Respond to audits confirmations and any other confirmations
Assisting in the submission of the requested CFTC Forms 102 or trader data to the regulators
Ownership and Control Reporting (OCR) data maintenance and updates; updating customer files with trader information.
Approve all promotional material produced by us and our APs and affiliates
Review and follow up on any customer screening alerts generated by third party due diligence software in order to comply with regulatory and AML obligations.
Review various reports for any suspicious trading activity or customer money movements
Review incoming and outgoing money movement, checks, wires, ACH's for AML requirements.
Review and approve third party payments in and out of customer accounts in order to satisfy company and industry AML obligations.
Skills & Experience:
Candidate must have strong written and verbal communication skills
Strong collaboration skills and ability to communicate effectively with other departments
The ability to create and maintain well documented records and present reports in a clear and accurate manner
Knowledge of industry rules and regulations; 3 years of experience a plus
Proficiency in Microsoft office such as MS Word and PowerPoint and Excel and the creation of pivot tables and charts.
Self-motivated, flexible and enthusiastic
Must be organized and detail oriented
Ability to work in a fast-paced environment and be an effective multi-tasker
Chicago Financial Search
