Senior Compliance Officer

Our client is a technology driven, multi-asset investment firm operating on a global scale. The Senior Compliance Officer will be responsible for providing primary compliance support for U.S. options and futures businesses.

Responsibilities

Provide clear and practical guidance regarding the application of regulatory requirements; Review and approve new business initiatives, products, and markets to ensure full compliance before launch; Develop, maintain, and update internal compliance policies; Assist in periodic compliance risk assessments and reviews; Serve as the primary point of contact and trusted advisor regarding all U.S. options and futures-related compliance matters; Investigate and prepare comprehensive and accurate responses to regulatory inquiries and examinations

Requirements

Bachelor’s degree in finance or related field; 8-10 years of compliance experience; Strong knowledge in regulatory reporting requirements; Knowledge of U.S. options and futures market structure; Proficiency in data analysis and reporting tools

Nice to have

J.D a plus