Director of FCM Compliance Advisory

Director of FCM Compliance Advisory About the Company Join a well-established broker dealer known for its commitment to excellence in the insurance industry. About the Role The Company is seeking a dynamic Director for FCM Compliance Advisory to support our Head of FCM Compliance. In this pivotal role, you will provide essential compliance advisory services to our FCM business line, ensuring adherence to regulatory inquiries related to the SEC, FINRA, NFA, CFTC, and other exchanges. Your expertise will contribute to meeting compliance deadlines and maintaining rigorous standards. Your key responsibilities will include: Developing and refining policies, procedures, and written supervisory procedures specific to US FCM operations. Addressing FCM business inquiries and facilitating compliance for desk heads. Actively participating in regulatory processes and inquiries. Identifying and escalating any policy breaches or risk events to promote a culture of integrity and accountability. Providing valuable insights to enhance our risk management processes. The ideal candidate will exhibit a high degree of integrity, a proactive problem-solving mindset, and a commitment to upholding company values. You will serve as a role model for exemplary conduct within the established risk framework. Hiring Manager Title Head of FCM Compliance Travel Percent Less than 10% Functions CEO/President Non-Profit Management Finance Operations Strategy