Director of Compliance - FCM
Company: StoneX Group Inc. US
Location: Chicago
Posted on: August 7, 2022
Job Description:
Position Purpose: Serve as a leader on various areas of
compliance monitoring and internal customer service to the business
units supported by the compliance team devoted to the Futures
Commission MerchantPrimary Accountabilities/Responsibilities:
- Oversight of various components of the firm's compliance
program on a day-to-day basis
- Serve as the lead compliance coordinator for and CFTC, NFA, or
DSRO regulatory audits
- Assist CCO with strategic projects and initiatives
- Works with the CCO and Senior Compliance staff to prepare the
annual CCO report
- Collaborate with other departments (e.g., Risk Management,
Internal Audit, Human Resources, etc.) to direct compliance issues
to appropriate existing channels for investigation and resolution.
Consults with Corporate Counsel as needed to resolve difficult
legal compliance issues.
- Ensure required regulatory filings with exchanges and/or
regulatory bodies are made accurately and timely
- Serve as the lead point of contact for internal inquiries from
other teams and business units including, but not limited to: Trade
platform support; Electronic order log, Non-competitive trade
types, Suspense accounts and Give-up trades etc.
- Identifies potential areas of compliance vulnerability and
risk; develops and/or implements corrective action plans/controls
for resolution and sustained compliance in the future.
- Analyze and perform analysis on various structures and trade
type strategies presented by front office
- Manage departmental inbound inquiries and response in a timely
manner
- Monitor and reporting of regulatory position limits
- Serve as the primary compliance reviewer for customers engaged
in last trading day and deliveries
- Provide compliance support for new product and sales technical
initiatives.
- Coordinate the compliance team involvement in the prospective
introducer vetting and onboarding process
- Assist in policy and procedure development and maintenance
- Maintains prompt and regular attendance.
- This list of responsibilities may not be all-inclusive and can
be expanded to include other duties or responsibilities as
needed.Job Requirements:
- Bachelor's degree in Finance or Business or equivalent years'
experience in finance or compliance preferred
- 5 to 10 years compliance experience preferably in commodities
derivatives at a Clearing FCM
- Strong knowledge of CFTC, NFA, and exchange rules
- Demonstrated ability working with people in connection with
challenging issues
- Strong organization skills along with attention to detail
- Demonstrated proficiency using Microsoft Office
- Ability to manage multiple tasks and adapt to changing
priorities in a fast-paced environment.
- Ability to effectively present information and respond to
questions from groups of managers, customers, and the general
public via effective written and oral communication skills
- Skilled in researching, interpreting, and disseminating
information on compliance regulations and laws
- Ability to work independently
- Must be available for travel as needed - anticipated 5%- 15% of
the time but potentially 25%
- Must be authorized to work in the US for any employerPhysical
requirements/Working conditions:
- Climate controlled office environment
- Minimal physical requirements other than occasional light
lifting of boxed materials
- Dynamic, time-sensitive environment
StoneX (formerly known as INTL FCStone) is an institutional-grade
financial services network that connects companies, organizations
and investors to the global markets ecosystem through a unique
blend of digital platforms, end-to-end clearing and execution
services, high-touch service and deep expertise. We provide access
to 36 derivatives exchanges, 175 foreign exchange markets, nearly
every global securities marketplace and a number of bi-lateral
liquidity venues. We deliver this access with support throughout
the entire lifecycle of a trade - from consulting and
"boots-on-the-ground" intelligence, to best execution, to
post-trade clearing, custody and settlement. In these ways, StoneX
enables clients to use the global markets ecosystem to achieve
their business goals through one trusted partner. We currently
serve more than 30,000 commercial, institutional and payments
clients, and more than 125,000 retail clients across more than 130
countries. Our clients use our institutional-grade digital
platforms, our high-touch service, and our market intelligence to
pursue trading opportunities, make investments efficiently, manage
their market risks, and improve their business performance. Our
relentless focus on helping them accomplish these objectives has
enabled us to build deeply valued, long-term relationships based on
guidance, integrity, transparency and trust.
StoneX Group Inc. is an Equal Opportunity Employer . Employment
decisions are made without regard to race, color, religion,
national or ethnic origin, sex, sexual orientation, gender identity
or expression, age, disability, protected veteran status or other
characteristics protected by law.
Keywords: StoneX Group Inc. US, Chicago , Director of Compliance - FCM, Executive , Chicago, Illinois
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