Futures trading platform located in Chicago looking to bring on a new “Chief Compliance Officer” to join their team. This role is in a hybrid schedule (3 days per week).Responsibilities:• Monitoring and interpreting regulatory requirements from relevant authorities such as the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other regulatory bodies• Developing and maintaining policies and procedures to ensure compliance with applicable laws, rules, and regulations• Conducting regular compliance reviews and assessments to identify potential areas of non-compliance and implement corrective actions as necessary• Assessing and mitigating compliance risks associated with the company’s operations, products, and services• Developing risk-based compliance monitoring programs to identify, assess, and address potential compliance risks• Providing guidance on compliance-related risks to senior management and the other Senior Executives• Serve as the primary point of contact for regulatory agencies and provide guidance to senior management on compliance matters• Investigate and respond to regulatory inquiries, preparation for NFA exams, satisfying annual NFA requirements and management of internal audits• Manage the review and approval processes for promotional material, sales solicitation, new accounts, trading activity, and customer complaints• Advise the Futures business, with a particular focus on Compliance responsibilities as a non-Clearing FCM• Identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices• Research, interpret and advise the firm regarding compliance with laws, regulations, and guidance applicable to non-clearing futures commission merchants
...Substitute Bus Monitor Rowan County Schools BUS GARAGE - Morehead, Kentucky Open in Google MapsJob Details Job ID: 5849386Application... ..., principals, and parents concerning student background, medical problems and behavior as appropriate.Maintains current knowledge...
...thrive.Under the supervision of the Manager, The Community Life Coach is responsible for helping people with intellectual... ...the month following 30 days of employmentand access to TeledocFinancial Wellness: 403(b) Retirement Savings Plan with 3.5% matching contributions...
...As a pharmacy technician completing all requirements for licensure as a registered pharmacy technician, in accordance with New York State Education Law, performs duties consistent with medication compounding. These responsibilities include assisting pharmacists by compounding...
...advice to meet clients' needs. We are seeking a Director of Finance to join our Corporate Finance Team based in Massachusetts, in... .... Ensure the accuracy, completeness, and integrity of all accounting and financial reporting activities. Oversee general ledger...
...employee discount on ALL merchandise. Appliance & Electronics Technician At Big Sandy... ...will be responsible for diagnostics and repair of customer units. The expectations and... ...comments in the work order from the customer's home. Install parts on units and test...