Chief Compliance Officer, Commodities

Manhattan Permanent
  • Opportunity to join a firm in a fast paced/dynamic environment!
  • High visibility opportunity

About Our Client

Our client is a Commodities firm in NYC.

Job Description

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Description

  • Day to Day management and oversight of the Compliance business
  • Responding to regulatory inquiries and liaising with US Regulators and Exchanges
  • Establishing and maintaining a training program with regard to compliance policies and procedures, including conducting staff induction and periodic training and maintenance of training records.
  • Responsible for filing and amending Firm, AP, and, Principal Registrations.
  • Administering the registrant's policies and procedures reasonably designed to ensure compliance with the Act and Commission regulations
  • In consultation with the board of directors or the senior officer, resolving any compliance conflicts of interest that may arise
  • Taking reasonable steps to ensure compliance with the Act and Commission regulations relating to the futures commission merchant's business as a futures commission merchant
  • Establishing procedures, in consultation with the board of directors or the senior officer, for the remediation of noncompliance issues identified by the chief compliance officer through a compliance office review, look-back, internal or external audit finding, self-reported error, or validated complaint
  • Establishing procedures, in consultation with the board of directors or the senior officer, for the handling, management response, remediation, retesting, and closing of noncompliance issues
  • Preparing and signing the annual report required under paragraphs (e) and (f) of CFTC 17 CFR 3.3
  • Maintain copies of the policies and procedures reasonably designed to ensure compliance with the Act
  • Maintain copies of material, including written reports provided to the board of directors or senior officer in connection with the review of the annual report under paragraph (e) of 17 CFR 3.3.

The Successful Applicant

  • 10+ years experience within Compliance
  • Ability to work with Regulators and Senior Board Committee
  • Knowledge of CFTC Regulations
  • Establishing policies and procedures

What's on Offer

Commensurate on experience

Contact
Samantha Barrett
Quote job ref
1552717

Job summary

Sub Sector
Location
Contract Type
Consultant name
Samantha Barrett
Job Reference
1552717