FCM Compliance Advisory

About Our Client

Rapidly growing financial services firm that specializes in the commodies market.

• Provide Compliance Advisory services to the Head of FCM Compliance for the FCM (futures commission merchant) business line.
• Complete or assist with US FCM-related regulatory inquiries.
• Complete or assist in preparing US FCM BCAC guidance for management review.
• Collaborate to ensure Compliance Calendar deadlines are met.
• Develop or assist in the creation of US FCM Policies, Procedures, and Written Supervisory Procedures.
• Address FCM Business-related questions.
• Support Desk Heads with FCM compliance matters.
• Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC, and other relevant exchanges.
• Adhere to the operational risk framework, ensuring compliance with all regulatory or company-established parameters.
• Model the highest standards of integrity and conduct, reflecting Company Values.
• Comply with Firm's Code of Conduct at all times.
• Remain fully aware of and adhere to internal policies related to your role and responsibilities.
• Report any policy breaches to Compliance and/or your supervisor as required.
• Escalate risk events immediately.
• Contribute input to risk management processes as necessary.

MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Competencies:

• Demonstrate curiosity and a willingness to learn.
• Show resilience in a challenging, fast-paced environment.
• Ability to communicate effectively across geography, business functions, corporate levels, and diverse experience sets.
• Possess unimpeachable character and integrity, ensuring decisions are guided by ethical standards.
• Self-starter with the ability to prioritize and manage multiple deliverables from start to finish.
• Collaborative team player who is approachable, self-efficient, and fosters a positive work environment.
• Strategic collaborator with insight and agility, capable of anticipating future challenges to ensure operational effectiveness.

Skills and Experience:

• Minimum of 5 years of financial industry experience in a legal or compliance role.
• Experience in FCM or FCM regulatory matters.
• Ability to work effectively in a matrix reporting organization.
• Bachelor's degree (JD or other degrees are preferred).
• Previous compliance experience is desired.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment with knowledge of associated risk and compliance requirements.

What's on Offer

The opportunity to grow with and significantly influence a high growth financial services firm separating themselves in the market.