The Director, Compliance, will oversee compliance staff and broker surveillance of NFA Members that trade, or broker for client and equity raisers.
This also includes performing any special projects necessary to accomplish these duties.
- Developing programs and procedures necessary to review new accounts and daily activities.
- Developing programs and procedures necessary to conduct training for Ethics and AML to all employees
- Sales training and brokers
- Monitor the department's progress in implementing the structure and programs for regulating NFA's and any other regulatory body we do business with
- Complete all performance management functions, including effectively coaching subordinates, providing meaningful feedback in evaluations to subordinates, guiding subordinates in career development, recognizing and disciplining employees for not following the rules
- Promote NFA's brand, discuss current industry and NFA initiatives and obtain information regarding industry concerns.
- Use feedback to develop new initiatives or make changes to current processes.
Must have at least 3 years compliance experience on the job. Ability to apply a common sense approach in a rule driven environment. Strong oral and written communication skills. Strong networking and relationship building skills. Ability to work effectively in a team environment. A high level of initiative. Experience in managing others and workflow.
Email Resume: email@example.com or fax resume to 312-275-8123