CFTC Licensed Compliance Officer

Job Summary

A company is looking for a Compliance Officer to establish compliance functions for a new introducing broker registered with the Commodity Futures Trading Commission (CFTC).

Key Responsibilities

• Develop, implement, and monitor the compliance program for futures introducing broker activities
• Conduct internal audits and compliance reviews to ensure adherence to regulations and internal controls
• Provide compliance training and support responses to regulatory inquiries and audits

Required Qualifications

• Bachelor's degree in business, finance, accounting, or a related field
• 5-7 years of compliance experience with a futures commission merchant or introducing broker
• Strong knowledge of NFA and CFTC regulatory frameworks
• Experience managing compliance programs and leading a team of compliance professionals
• Familiarity with AML/KYC requirements and relevant regulatory obligations