Compliance Officer

  • Dependent on experience
  • New York, NY, USA
  • Permanent, Full time
  • Robert Half - US
  • 29 Sep 16

Robert Half Financial Services are currently recruiting for a Compliance Officer role within an International Broker Dealer, based in midtown New York. Our client requires at least 3+ years Compliance or Trade Surveillance experience within Financial Futures and Commodities, and knowledge of exchanges such as CME, ICE and NYMEX.

THE ROLE

The primary responsibility of the Compliance Officer is to oversee the division’s compliance with market and trade supervision requirements of various exchanges (CME, ICE, NYMEX) as well as government bodies such as Commodity Futures Trading Commission (CFTC).  The Compliance Officer will also work with the surveillance provider to manage the surveillance system, review trade surveillance alerts on a daily basis, assist other staff in their review of alerts and perform other daily compliance tasks as they relate to the trade process.  

RESPONSIBILITIES

  • Take lead role in monitoring and reviewing daily trade and market surveillance alerts generated by customers. Use investigative skills to review for patterns, potential issues, and other disruptive trading practices that would constitute violations of regulations.  Collaborate within Compliance to resolve issues.
  • Work both internally as well as with outside vendors to review for false positives.
  • Help draft policies and procedures as it relates to trade and market monitoring of customer activity.
  • Provide guidance, education and training to brokers as it relates to exchange requirements including EFRP, blocks, cross trades, etc.
  • Improve efficiencies in the compliance trade monitoring process, including trade transfers.
  • Regularly attend industry conferences and calls, staying up to date on continuing developments.
  • Participates in the completion of the annual compliance audit by the firm’s designated self-regulatory organization.
  • Work with Front Office as needed to address trade practice and market issues.
  • Act as a liaison between the Firm and Exchange Market Regulation personnel.
  • Identify potential areas of compliance vulnerability and risk; develops and/or 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.
  • Maintains prompt and regular attendance.
  • This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

QUALIFICATIONS/SKILLS

  • Bachelor’s degree in Finance or Business.
  • 3-6+ years compliance experience preferably in Commodities and Futures.
  • Skilled in researching, interpreting and disseminating information on compliance regulations and laws.
  • Must be available for travel to other US office – at least once a quarter.

This Compliance Officer role is located in Midtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience, if your profile matches the above criteria please contact me on **trishan.khareghat@roberthalffs.com**