Sr. Trading Compliance Consultant

Job #: 36168
Role: TRADING COMPLIANCE CONSULTANT (TCA or Consultant)
Reports to: Head of Compliance

• Monitoring Trade Activity: Performing daily surveillance of trading activities using automated systems and reports to identify potential violations or unusual patterns.
• Regulatory Reporting and Filings: Preparing and submitting accurate and timely reports to external regulatory bodies like the CFTC, exchanges, and clearing brokers. (Exchange Limit Compliance)
• Policy Development and Implementation: Drafting, updating, and implementing internal compliance policies, procedures, and controls to align with evolving local and international regulations.
• Risk Assessment and Auditing: Conducting regular internal audits and risk assessments to identify potential compliance gaps and developing strategies for remediation.
• Advisory and Training: Providing guidance and advice to traders and other internal departments on compliance-related matters and developing and delivering compliance training programs for employees.
• Documentation and Recordkeeping: Maintaining meticulous records and documentation related to trade compliance, licenses, and permits to ensure audit-readiness.
• Investigation and Corrective Action: Investigating potential compliance issues or breaches and working with relevant departments to implement corrective actions.
• Additional Duties: Perform any other related duties, tasks, and or ad-hoc activities as assigned by the Head of Compliance or their designee.

Qualified inquiries:
Georgia @
Roger @