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Job Order:
0026-017-811

Job Type:
Permanent

Title:
Futures and Options Compliance Analyst

Location:
Chicago

Description:
Summary/Responsibilities:
Support the implementation of effective and comprehensive compliance
monitoring/supervisory programs
Conduct surveillance reviews to ensure compliance with regulatory and firm
policies/guidelines
Keep abreast of regulatory/market structure changes that may affect the scope of
existing surveillance
Work with technology/business supervisors to test surveillance reports to ensure
integrity
Ensure regulatory filings are completed and submitted timely and accurately
Track reporting/escalation of compliance and regulatory risk issues
Provide guidance/assistance on compliance/regulatory issues to the business and
support groups
Drafting/implement/update policies and procedures
Develop/administer training materials and programs
Assist in connection with internal and external investigations/exams/audits
Interact regularly with options and futures regulators
Support full service prime brokerage business

Requirements:
5+ years related securities compliance experience
Series 3, 4, 7 required
Series 14, 24 a plus
Experience with regulatory matters/futures & options/securities regulation (34
Act; 40 Act)/bank regulation
Previous working experience with regulators and/or ability to develop
relationships with regulators
BA degree
Ability to work independently while managing various competing priorities with a
heavy workload
FCM compliance experience preferred


Category:
Broker Dealer // Stock Exchanges

Contact:
Matt@bcius.com