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- Assist with formal FINRA, CBOE, and ICE firm examinations
- Research and prepare memos on relevant SRO and Federal Securities Laws
- Conduct meetings with relevant Senior Executives for rule interpretations
- Prepare research for potentially new products such as cryptocurrency
- Update WSPs along with Firm Policies & Procedures
- Create compliance training presentations for annual compliance meeting
- Create and present junior traders with an introduction to financial markets compliance presentation
- Assist with the setup of new foreign exchange trading
- Speak with Singapore and Japanese regulators to finalize the admission to the Singapore and Osaka Exchanges
- Conduct research on Singapore and Japanese Securities laws and cross reference with US securities laws to better prepare the Firm for its live launch
- Interact with US & European exchanges and SROs for Firm examinations and various systems updates
- Speak with CBOE, CME, ICE, etc. to discuss updates in Firm filings
- Assist FINRA regulators in their examination by providing necessary documentation (KYC, Broker-Dealer registration, etc.)
- Assist in the transition of new reporting FINRA protocols which needed to be coordinated with the different exchanges
- Assist in Regulator inquiries of Firm's trading and prepare responses
- Speak with regulators on potential rule violations from insider trading, looping, flickering, market making etc. to Firm registration violations
- Speak with third party vendors to help analyze outside market surveillance platforms
- Conduct Annual training presentations for the Firm as well as introductory presentations for Junior traders
Compliance Officer - Chicago, United States - Larson Maddox
Description
We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply.