Compliance Officer
Skills
- In-depth knowledge of CFTC and NFA regulatory requirements.
- Experience with futures trading compliance, including AML/KYC and BSA regulations.
- Strong analytical and investigative skills.
- Proficiency in compliance monitoring tools and Microsoft 365.
- Excellent written and verbal communication skills.
Responsibilities
- Develop, implement, and monitor the compliance program for futures introducing broker activities.
- Ensure compliance with NFA and CFTC rules and monitor regulatory changes.
- Conduct internal audits, compliance reviews, and testing to assess adherence to regulations and internal controls.
- Collaborate with Legal, Marketing, and Operations on compliance for advertising, promotional materials, and customer communications.
- Participate in investigations and coordinate responses to regulatory inquiries and audits.
- Develop and deliver compliance training programs to employees.
- Maintain accurate compliance documentation and reporting.
- Assess new products and initiatives for compliance risks.
Education
- Bachelor's degree in business, finance, accounting, or a related field.
Benefits
- Fully remote to hybrid work environment with collaboration focus.
- Nine company-paid holidays and family leave.
- Competitive 401(k) matching.
- Health, dental, and vision insurance.
- Bonus for taking consecutive vacation days.
- Employee referral bonuses.
- Food and groceries budget and wellness contributions.
Average salary estimate
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TopstepTrader's vision is to be where the world goes to safely engage in and profit from financial markets. TopstepTrader® evaluates traders' performance in a real-time, simulated account, called the Trading Combine®. When traders follow the risk ...
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