Senior Compliance Analyst (Futures)

Senior Compliance Analyst (Futures)

The Senior Compliance Analyst (Futures) plays a key role within our Compliance Program. The role requires interacting with regulators (NFA, CFTC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner. The individual will embody a profound sense of ownership, accountability, and expertise, ensuring that our standards of operational resiliency are consistently met.

Duties / Responsibilities

• Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.
• Respond to exchange examiners, CME, ICE Small Exchange, for the FCM.
• Interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.
• Actively participate in responding to various types of regulatory inquires and participating in regulatory examinations
• Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firms business practices and processes

Education and / or Experience

Required Skills / Abilities

Work Environment