2018-05-17

Chief Compliance Officer - Futures
Job Opportunity at Paul Murphy Associates

Posted on May 17

http://www.paulmurphyassociates.com    

Location: Chicago, IL
Job Type: Full Time
Job ID: W4159868

Title: Chief Compliance Officer – Futures 
Location: Chicago, IL (Loop)
Length: Full Time
Rate: 
UPTO $250K base plus bonus and amazing benefits
GENERAL OVERVIEW

Responsible for day-to-day operation of the Department and for ensuring activities, policies and procedures relating to the futures markets are in compliance with regulatory organizations in order to manage compliance risks.  This position reports to the CEO and  a minimum of 10 years of experience in futures compliance and operations is required 

JOB DUTIES / RESPONSIBILITIES:

  • Engage with key business lines to support compliance management in the development, implementation and maintenance of an enterprise-wide compliance program and culture of compliance
  • Manage a staff of three compliance professionals, conduct periodic performance reviews, engage in staff growth and development efforts, and all other tasks related to the management of the futures Compliance team
  • Identify and remediate compliance gaps and risks
  • Maintain a high level of awareness and knowledge of all existing and new regulatory requirements
  • Evaluate the adequacy of business line policies, procedures, and systems for adherence with applicable regulatory requirements and internal policies; draft procedures and policies
  • Advise all business lines and personnel on all futures compliance related matters; participate on internal committees where compliance presence is required
  • Prepare annual Chief Compliance Officer report for CEO certification and filing with the appropriate regulatory authorities
  • Ensure proper internal and required regulatory reporting of rule violations, regulations, policies, procedures, and material changes as necessary
  • Conduct annual and periodic branch office compliance reviews; review, investigate, and respond to customer complaints; coordinate distribution of required customer disclosures
  • Conduct on-going compliance surveillance, reviews, and testing; ensure maintenance of proper documentation of all reviews conducted by the Compliance Department and all other books and records requriements in general
  • Research and respond to regulatory subpoenas and inquiries (CFTC, NFA, SRO’s); cooridnate responses to alleged rule violations and enforcement actions
  • Coordinate examinations with various government and regulatory organizations as well as internal and external auditors
  • Participate in development and delivery of annual and ongoing employee training (e.g., ethics training, seg training, general firm-wide policies and procedures)
  • Develop project plans to monitor and track progress; work on special projects as needed
  • Build lasting and effective working relationships with various business partners to drive compliance processes and programs
  • Ensure all regulatory requirements are met with respect to new employee onboarding (e.g., registrations, fingerprinting)
  • Responsible for all other compliance duties applicable to the firm
Required licenses:
  • Series 3
KEY COMPETENCIES:
  • Strong organizational and effective communication skills
  • Candidate must have strong project management skills and be willing to lead projects where necessary
  • Must be highly flexible, multi-task oriented, and capable of changing directions based on business demands
  • Team-oriented with strong interpersonal skills, able to manage conflict and deal with pressure in a positive manner
  • Ability to execute on multiple projects and understand how they fit into the larger compliance program, while adhering to internal and external deadlines
  • Self-motivated with ability to work both independently and in a team environment

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