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
...remote role, you will work closely with clients to... ...Itinerary Design: Create customized romantic travel plans... ...Consultations: Conduct virtual meetings or calls with... ...hospitality, or customer service is a plus. Strong... ...work independently from home. Passionate about travel...
...provide incredible customer service by engaging customers in friendly conversation, carefully handling bagged items, and keeping the parking lot clear and safe for everyone. You'll leave a lasting impression and transform first-time shoppers into loyal Wegmans customers!...
Software Developer, SeniorThe Opportunity:As a full stack developer, you can resolve a problem with... ...polygraph is required. Skills AssessmentAs part of Booz Allens skills first hiring... ...superior demonstration of our values. Full-time and part-time employees working at least...
...Valet AttendantAt Evolution, we're always on the lookout for the right people. Those who... ...departing guests by opening and closing doors, parking and securing vehicles, unloading luggage,... ...the initial friendly welcome to the hotel guests.Are You The Right Fit For This...
...Growing Women'sHealth Team in the Heart of the White Mountains. We are seeking an experienced,compassionate, and dedicated Certified Nurse Midwife to join our expandingWomen's Health team in beautiful Littleton, New Hampshire. This is an outstandingopportunity to...