Compliance Officer
Supports the compliance program for a retail forex brokerage by monitoring CFTC and NFA requirements, advising on products, overseeing AML/KYC processes, and coordinating regulatory examinations. Requires a bachelor’s degree and at least five years of relevant financial-services compliance experience.
About the job
Responsibilities
- Monitor and ensure ongoing compliance with CFTC regulations and NFA compliance rules.
- Advise business partners on existing and new products and services.
- Maintain firm registration and track associated-person licensing requirements.
- Support the Chief Compliance Officer with NFA and CFTC inquiries, audits, and examinations; coordinate documentation requests.
- Review marketing materials and customer communications for compliance with NFA marketing rules.
- Deliver training on compliance requirements, emerging regulations, internal protocols, and best practices.
- Supervise customer due diligence processes to maintain AML and KYC compliance while managing customer risk.
- Monitor suspicious activity and prepare SAR filings in coordination with the AML Officer and Chief Compliance Officer.
- Monitor customer complaint handling.
Requirements
- Bachelor's degree in Finance, Business, Law, or a related field.
- 5+ years of compliance experience in retail forex, futures, derivatives, or securities.
- Working knowledge of CFTC regulations and NFA rules applicable to RFEDs, FCMs, and Forex Dealer Members.
- Strong understanding of AML/BSA requirements in financial services.
- Excellent written and verbal communication skills for regulatory correspondence and internal policy drafting.
- Ability to work cross-functionally with trading, operations, IT, and legal teams.
- Prior experience at an NFA-regulated FCM or RFED, or a regulatory agency.
Nice to Have
- Series 3 and Series 34 licenses.
Compensation and Benefits
- Salary: $100,000-$140,000 annually.
- Discretionary performance bonus of 8-12% of base salary, based on individual and company performance.
- Stock purchase options.
- Medical, vision, and dental benefits.
- 401(k) plan.
- 20 paid vacation days, plus an additional paid vacation day during the employee's birthday month.
- 10 paid sick days.
- Gym membership reimbursement and in-building gym.
- Commuter benefits and shuttle service to and from Metra.
- Pet insurance.
- Wellness and mental health programs.
- Charitable donation matching.
- Two paid volunteer days off.
- Daily catered lunch and office kitchen snacks and beverages.
Skills
Cftc Regulations, Nfa Rules, AML, Bsa, Kyc, Sar Filings, Series 3, Series 34, Regulatory Compliance, Customer Due Diligence, Retail Forex, Futures
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