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- Subject: Chief Compliance Officer – Online Trading New York, NY
Gerald Elliott posted a job: Chief Compliance Officer – Online Trading New York, NY "Top-tier online trading firm is seeking a Chief Compliance Officer to oversee the Company's Compliance department, functioning as an objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures that management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company's Standards of Conduct. Responsibilities: Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Department and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the department. Provides guidance to Senior Managers on regulatory requirements affecting the firm. Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees. Collaborates with other to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the corporate attorney as needed to resolve difficult legal compliance issues. Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations. Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved. Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends. Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future. Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts. Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required. Institutes and maintains an effective compliance communication program for the organization, including promoting understanding of new and existing compliance issues and related policies and procedures. Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers. Monitors the performance of the Compliance department and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness. Qualifications: Minimum of 7 + years of NFA and CFTC experience is required. Must be familiar with audit, fraud prevention, AML, 1-FR. Management experience is required Ability to prioritize and handle complex compliance related projects. Must possess a strong work ethic and be a team player with the ability to work well under pressure. Strong analytical skills, including ability to design and document effective work processes. Strong research, organizational, problem-solving, and project management skills. Ability to develop and maintain effective working relationships with business managers. Excellent verbal and written communication skills Litigation/mitigation experience a plus FX experience a plus Education: A Bachelor's degree required; Master's desired. For more information please submit your resume to Info@compliancesearch.com" |
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