This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to comply with its obligations under National Futures Association (“NFA”) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA”).
In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM’s policies and procedures.