Regulatory Compliance Associate Director

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Regulatory Compliance Associate Director
The Candidate will be responsible to advise clients on compliance with the Commodities Exchange Act (CEA), Commodities Futures Trading Commission (CFTC) rules, National Futures Association (NFA) rules, and other applicable regulatory directives. Advise on and review firm disclosure documents, and marketing and advertising materials for compliance with CFTC/NFA regulatory requirements. Assist with Firm, Principal and Associated Person registration and filing requirements, including Annual Registration Updates, Annual Questionnaires, PR, and PQR. Assist clients in the performance of compliance functions, such as oversight of trading activity in customer and AP personal accounts. Prepare and submit required regulatory filings, for US and international clients. Review client and account documentation for anti-money laundering compliance. Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the CFTC/NFA requirements, including ethics training, annual compliance reviews, inspection of branch offices, registration of new employees, disaster recovery planning, and record-keeping. Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure. Perform other compliance-related responsibilities and special projects, as needed.

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