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For your reference, we have included the original job posting below.
Compliance Officer-Foreign Exchange/Futures
Job Number:
38667843
Company Name:
E*TRADE Financial
Job Location:
New York, NY US
Job Category:
Accounting & Finance
Compliance Officer-Foreign Exchange/Futures
Compliance Officer-Foreign Exchange/Futures
Location New York, NY, US
Organization Name 0001 3000 Compliance - Central Admin
Company Overview
In 1983, the first online trade was placed using early E*TRADE technology. Today, E*TRADE FINANCIAL is a global financial leader, delivering value and innovation to millions of customers in more than 40 countries worldwide. We are looking for highly energized, dynamic professionals who are ready to join a fast-paced, world leader in the financial services industry. We move at the speed of the Internet. Our work culture fosters an incredible exposure to innovative ideas and challenges that create experience and opportunity. Many have risen through the organization to become industry leaders, in both the financial services world and in the community at large. E*TRADE is made up of some of the brightest and most talented people in the industry - are you ready to join the industry leader?
Detailed Description
Compliance Officer- FX/Futures This role will act as Chief Compliance Officer for E*TRADE FFX LLC, supporting Foreign Exchange and Futures. In addition, the role will assist with compliance support for Retail Derivatives products, including equity options. The position will be located in Chicago and will report to the Head of Compliance with additional dotted line reporting to E*TRADE Securities Compliance as applicable, for specific lines of business. · Provide advice to Trading, Sales, Service and Operations personnel in connection with futures and FX business as Introducing Broker; listed options execution · Participate in design of compliance program for retail foreign exchange product including surveillance, supervision, licensing and client vetting · Draft and update appropriate written supervisory procedures · Monitor efficacy of applicable information barriers · Manage the overall compliance program, and together with Central Compliance, manage surveillance, trading activities, customer complaints, option account supervision and registration · Together with Regulatory Affairs and Legal, manage the regulatory exam process and responses to regulatory inquiries · Together with Operations and applicable personnel, assist with management of applicable trade/order reporting · Maintain ongoing and effective communications with key business partners including Trading, Sales, Services, Operations · Maintain relationships with all regulatory organizations and appropriate industry groups, forums, and organizations · Keep informed regarding pending industry changes, trends, and best practices by participating in collaborative settings including ones that guide and lead the futures and securities industries
Job Requirements
CANDIDATE REQUIREMENTS
* College Degree required * Required licenses include series 3, 4 and 7. Series 34, 24 and series 55 a plus * Minimum 5-7 years of experience with a futures commission merchant or broker-dealer * Strong working knowledge of applicable SRO and regulatory rules; experience interacting with regulatory bodies, including NFA, CFTC, FINRA and SEC; prior experience at regulator is a plus * Excellent communication skills, including both written and oral * Excellent organizational and follow-up skills * Strong relationship-building skills
Additional Details
We offer a competitive and comprehensive benefits package. Please visit learn more about the opportunities.
E*TRADE FINANCIAL is an EQUAL OPPORTUNITY EMPLOYER
Salary Type
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