The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border regulations
Job Summary
The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border regulations.
The role includes developing and delivering training sessions on business and regulatory matters, assisting with internal audits and external exams, and reviewing new product and business initiatives for compliance risks.
The position offers full-time employment with a base salary of $153,750 per year and benefits including a 401(k) program with company matching, health, dental, vision, life and disability insurance, and paid time off.
Matching Summary
The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border regulations.
Salary
Base: $153,750 per year; Bonus/Equity: Discretionary bonus not specified; Benefits: 401(k) with company matching, health, dental, vision, life and disability insurance, paid time off
Skills & Requirements
Must-have
U.S. and Canadian capital markets regulations
Compliance risk assessments
Cross-asset strategic compliance initiatives
Compliance monitoring programs
Regulatory training development and delivery
Internal audits and external exams support
Nice-to-have
Critical thinking
Interpersonal relationship management
Strategic thinking
Data gathering and analysis
Decision making
Industry knowledge
Key Requirements
Bachelor’s degree in Business or related field
4 years related work experience
3 years experience with U.S. and Canadian capital markets regulations
3 years experience in compliance risk assessments
3 years experience in cross-asset compliance initiatives
1 year advisory or compliance role in capital markets sales and trading
Experience with FX and Precious Metals Code implementation