Compliance Associate
Overview:
Serve as first line support in various areas of compliance monitoring and staff supervision.
Provide internal support to the business units supporting the North America Retail Forex and CFD businesses.
Work directly with the CCO and Deputy CCO Level II, as well as members of the larger compliance team and other functional areas across the firm.
Responsible for identifying areas of compliance improvement, responsible for the daily/monthly/quarterly/annual compliance task list and expected to create solutions/enhancements that work towards the end goal of ensuring compliance with applicable rules and regulations.
Primary responsibilities will include but are not limited to:
review and approve promotional material and research content to help ensure compliance with regulator and industry rules, assist with the review and surveillance of the firm's social media accounts, assist with regulatory requests from CFTC/NFA/CIMA/IIROC, assist with periodic regulator examinations, assist with maintaining the entity-level WPPs.
Responsibilities:
Primary Accountabilities/
Responsibilities:
Assist with the review and ongoing surveillance of all promotional material activities, including but not limited to:
Marketing Content, Websites, Social Media Accounts, Research Content, Educational Content.
Assist with review and surveillance of customer facing teams to help ensure compliance with company policy and application rules and regulations.
Assist the CCO and Deputy CCO Level II in daily oversight of the compliance program ensuring effectiveness and timely completion of all compliance tasks.
Assist the Deputy CCO Level II on regulator examinations.
(CFTC & NFA in US, CIMA in Caymans, CIRO (formerly IIROC) in Canada) Collaborate with other departments (e.
g.
Client Management, Sales, Risk Management, Internal Audit, Human Resources, Trade Desk, etc.
) to redirect compliance issues to appropriate existing channels for investigation and resolution.
Consult with in house legal team as needed to resolve difficult legal & compliance issues.
Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future.
Assist the Training Coordinator by ensuring all relevant staff have received required compliance training.
Assist the Deputy CCO Level II with New Hire Compliance training and salesperson/principal registration.
Assist the Deputy CCO Level II with initial and ongoing due diligence for Introducing Brokers, Money Managers, and Commodity Pools.
Assist in policy and procedure development and maintenance
Qualifications:
Job Requirements:
Bachelors degree in Finance or Business or equivalent years experience in finance or compliance preferred 1-5 years compliance or relevant industry experience preferably in Forex and CFD space, or with a regulator Awareness of CFTC, NFA, CIRO (formerly IIROC), and CIMA rules.
Demonstrated ability working with people in connection with challenging issues Strong organization skills along with attention to detail 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, colleagues, and/or customers via effective written and oral communication skills Ability to work independently Demonstrated proficiency using Microsoft Office Must be available for travel as needed anticipated 1%-5% Must be authorized to work in the US for any employer Maintains prompt and regular attendance.
Recommended Skills Attention To Detail Auditing Communication Coordinating Corrective And Preventive Action (Capa) Finance Estimated Salary: $20 to $28 per hour based on qualifications.
Serve as first line support in various areas of compliance monitoring and staff supervision.
Provide internal support to the business units supporting the North America Retail Forex and CFD businesses.
Work directly with the CCO and Deputy CCO Level II, as well as members of the larger compliance team and other functional areas across the firm.
Responsible for identifying areas of compliance improvement, responsible for the daily/monthly/quarterly/annual compliance task list and expected to create solutions/enhancements that work towards the end goal of ensuring compliance with applicable rules and regulations.
Primary responsibilities will include but are not limited to:
review and approve promotional material and research content to help ensure compliance with regulator and industry rules, assist with the review and surveillance of the firm's social media accounts, assist with regulatory requests from CFTC/NFA/CIMA/IIROC, assist with periodic regulator examinations, assist with maintaining the entity-level WPPs.
Responsibilities:
Primary Accountabilities/
Responsibilities:
Assist with the review and ongoing surveillance of all promotional material activities, including but not limited to:
Marketing Content, Websites, Social Media Accounts, Research Content, Educational Content.
Assist with review and surveillance of customer facing teams to help ensure compliance with company policy and application rules and regulations.
Assist the CCO and Deputy CCO Level II in daily oversight of the compliance program ensuring effectiveness and timely completion of all compliance tasks.
Assist the Deputy CCO Level II on regulator examinations.
(CFTC & NFA in US, CIMA in Caymans, CIRO (formerly IIROC) in Canada) Collaborate with other departments (e.
g.
Client Management, Sales, Risk Management, Internal Audit, Human Resources, Trade Desk, etc.
) to redirect compliance issues to appropriate existing channels for investigation and resolution.
Consult with in house legal team as needed to resolve difficult legal & compliance issues.
Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future.
Assist the Training Coordinator by ensuring all relevant staff have received required compliance training.
Assist the Deputy CCO Level II with New Hire Compliance training and salesperson/principal registration.
Assist the Deputy CCO Level II with initial and ongoing due diligence for Introducing Brokers, Money Managers, and Commodity Pools.
Assist in policy and procedure development and maintenance
Qualifications:
Job Requirements:
Bachelors degree in Finance or Business or equivalent years experience in finance or compliance preferred 1-5 years compliance or relevant industry experience preferably in Forex and CFD space, or with a regulator Awareness of CFTC, NFA, CIRO (formerly IIROC), and CIMA rules.
Demonstrated ability working with people in connection with challenging issues Strong organization skills along with attention to detail 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, colleagues, and/or customers via effective written and oral communication skills Ability to work independently Demonstrated proficiency using Microsoft Office Must be available for travel as needed anticipated 1%-5% Must be authorized to work in the US for any employer Maintains prompt and regular attendance.
Recommended Skills Attention To Detail Auditing Communication Coordinating Corrective And Preventive Action (Capa) Finance Estimated Salary: $20 to $28 per hour based on qualifications.
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