Required Skills & Experience:
• Law / Juris Doctor (JD) degree or equivalent legal qualification PREFERRED.
• Minimum of 6 years of experience in compliance within financial brokerages, FCM, futures trading, or trading software.
• Extensive knowledge of CME, CFTC, FTC regulations and other relevant regulatory bodies.
• Proven track record of managing compliance programs and conducting audits.
Job Description:
A client of Insight Global is seeking a highly experienced Compliance officer to join their team. The ideal candidate will be a lawyer or possess senior experience within financial brokerages, Futures Commission Merchants (FCM), futures trading, or trading software. This role requires deep industry knowledge and experience with regulatory bodies such as CME, CFTC, FTC, etc.
Responsibilities:
• Develop, implement, and oversee compliance policies and procedures to ensure adherence to regulatory requirements.
• Monitor and interpret regulatory changes and ensure the company’s compliance with all applicable laws and regulations.
• Conduct regular audits and risk assessments to identify areas of improvement and ensure compliance.
• Collaborate with legal and operational teams to address compliance issues and implement corrective actions.
• Provide training and guidance to staff on compliance matters.
• Liaise with regulatory bodies and maintain strong relationships to ensure smooth communication and compliance.
• Prepare and submit regulatory reports and filings as required.
...Brock Canada Industrial Ltd is hiring Scaffolders of All Levels for LNGC Kitimat We are currently looking for experienced, hard-working, and motivated Scaffolders for Projects at LNGC located in Kitimat BC Shift: 14&7 Hours: 10 Hour Days Travel: Fly In/Out...
...We are seeking a uniquely qualified emerging leader for this position.Hand and Stone Massage and Facial Spa in Destin is seeking a full-time assistant spa manager for our established spa. The ideal assistant spa manager candidate is goal oriented, and growth minded with...
Estamos contratando personal para el trabajo de WarehouseDuracin: Trabajo para tres mesesHorario: De lunes a viernes de 8:30 am a 4:30 pmPago: SemanalUbicacin: En el mismo lugar todos los dasRequisito: Se valora ingls aunque no es requisitoDireccin: 12240 SW...
...support and assistance to clients in their homes during nighttime hours. If you have a passion for caregiving and enjoy making a... ...your resume and contact information. Compensation: $13.00 - $15.00 per hour Live your best life possible while helping others live...
...Us: Astiva Health, Inc., located in Orange, CA is a premier healthcare provider specializing in Medicare and HMO services. With a focus... ...providers and groups. ~ Strong working knowledge of MS Office including Word, Excel, and Outlook. BENEFITS: ~401(k)...