Regulatory Compliance Officer (FCM Derivatives Compliance Officer)

Responsibilities:

· Manage regulatory inquiry and/or external examination process: monitor inquiries and information requests, assign regulatory inquiries/request to compliance staff, review and analyze requests for potential compliance breaches/issues, communicate with relevant stakeholders, retrieve responsive documents, draft the Firm’s responses, escalate compliance breaches, and manage compliance remediation relating to issues of non-compliance.

· Work closely and coordinate as appropriate with Legal, AML, and/or Business Lines pertaining to regulatory matters that arise from inquiries and examinations.

· Develop and assist in the training of Firm staff in relation to derivatives regulations, advisories, and hot topics focusing particularly on weaknesses or risk identified by the Compliance Program.

· Conduct reviews and internal investigations of various derivative trading desks to ensure compliance with regulatory rules and internal policies, focusing on both trading and operational processes.

· Represent the Department at internal and external meetings with regulators and others including a variety of committee meetings.

· Actively participate in Firm’s Regulatory Change Program. Evaluate impact to applicable business areas resulting from changing or new exchange and regulatory rules. Coordinate with applicable Departments to implement operational or policy changes as needed.

· Assist in the regulatory inventory rule mapping processes

· Assist in the completion of the annual compliance risk assessments