Broker dealer located in Chicago looking to bring on board a “Executive Director – FCM Compliance Advisory” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in completing US FCM related regulatory inquiries.Complete or assist in completing US FCM BCAC guidance for management review.Collaborate to ensure Compliance Calendar deadlines are achieved.Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.Field FCM Business Questions.Support the Desk Heads with FCM related compliance matters.Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.At all times complying with Code of Conduct.To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.To report any breaches of policy to Compliance and/ or your supervisor as required.To escalate risk events immediately.To provide input to risk management processes, as required.
...Response Department District Wide The Position FUNCTION : Assist with technical and specialized duties in the College Campus radio station operations, related to instructional programs, equipment and resources. May assist with the College Campus television program....
...helps build a better world.Ready to shape the future of resilient communities? AEEC, a Verdantas Company, is seeking a strong .NET Web Developer to support our Federal client in Washington, DC.As the .NET Web Developer, you will be responsible for designing, developing,...
...We are looking for a Concrete Finisher to supplement our crews. Concrete Finisher's will need to be able to form sidewalks, curbs, shallow foundations, spread level concrete and be a team player. This Job will be a great opportunity for the right Candidates it is...
...the largest and most recognized employers in San Antonio? University Health has an exciting opportunity for you as an Epic Application System Analyst - Revenue. This is a wonderful opportunity to join a company with a reputation for exceptional service and patient care...
...Drill Rig OperatorSince 1932, A.H. Beck Foundation Co., Inc. has set the standard as a premier deep foundation, ground improvement, and earth retention contractor. We are industry leaders in the deep foundation sector, consistently innovating and evolving in the realms...