Compliance - FCM (Futures Comission Merchant) with Top Echelon Network in Chicago, IL

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Top Echelon Network

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Job Location: Chicago, IL

Top Tier Investment Firm is looking for a Solid Candidate to handle a Compliance - FCM (Futures Commission Merchant) role. Build out of the FCM and support of projects related to the Dodd-Frank regulatory requirements.

Assist with developing, implementing, and monitoring a risk-based compliance program to ensure compliance with regulatory requirements and firm polices and procedures
Become well versed in the products offered by the firm, the inherent risks of such products and the policies, procedures, and controls surrounding them
Develop policies and procedures
Develop surveillance/monitoring process to ensure business is conducted in compliance with industry rules/regulations
Ensure regulatory filings are completed as necessary
Coordinate regulatory/audit reviews and inquiries
Keep abreast of industry & regulatory developments, as well as internal changes impacting the LOB to ensure the development of appropriate training and incorporation into control infrastructure
Investigate and respond to customer complaints
Review marketing materials
Liaise with Corporate Compliance to comply with required standards
Conduct and/or review branch office audits.

Qualifications:

4+ years of compliance experience (either with a regulatory body or FCM).
Holds a Series 3 or ability to obtain within 90 days.
Strong attention to detail while cognizant of macro-level impacts across the Firm
Four year college degree
Experience with Derivatives, Dodd-Frank Act / Financial Reform
Knowledge of CFTC, NFA, and applicable OCC rules
Experience dealing with CFTC, NFA or other regulatory agencies
Transaction monitoring and surveillance experience

Salary Range:

$80,000 - $110,000 Base + Bonus

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