Senior Futures Compliance Consultant in New York City, New York
Posted 09/21/22


HE TEAM YOU WILL BE JOINING

  • Next generation industry leader in providing delivery for clients through AI and digital design
  • Global footprint offering expertise in 40 sectors and services in over 35 countries
  • Great company culture with an invested focus on learning and development

WHAT THEY OFFER YOU

  • Program that supports professional development through guidance and real-time feedback
  • Access to the newest tools and technology on market
  • Competitive compensation and benefits
  • Hybrid in NYC - 1 day on-site (but can be more flexible if needed)

WHY THIS ROLE IS IMPORTANT:

  • Brings relevant CFTC regulations and NFA examination knowledge (field experience preferred)
  • Provides advice, review /challenge to teams including regulatory expectations for document production prior to submissions to examiners. Including knowledge of substituted compliance as it relates to European Regulations. 
  • Coordination with Supervisory Relations Group (“SRG”) to maintain timely submission to NFA
  • Assists in discussions and the approach for responses pertaining to issues raised during the exam time- period.
  • Meeting preparations including advisory ahead of meetings (may join regulatory meetings however, client retains ownership of communication to the NFA and Bank Senior Management)
  • Regular Reporting to management
  • Defines the scope of Review, organizes and drives the Review across regions and stakeholders
  • Collects the required documentation and information for Review purposes
  • Provides the review scripts for the proposed requirements to cover, execute the Review, (including policies, procedures and governances). 
  • Coordinates follow-up meeting organization
  • Regular reporting to the Compliance Task Force Leads.


THE BACKGROUND THAT FITS:

  • 5-10+ years of experience in FTC and SEC compliance for commodities
  • Bachelor's Degree
  • Experience managing the above requirements of the role
#LI-CC2
  • Employee Type: SOW
  • Location: New York City, New York
  • Category: Accounting and Finance
  • Date Posted: 09/21/22
Apply Today!
Apply Today!

Apply Today!

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