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Job

Compliance Officer

  • Location

    Chicago

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Contact:

    Sparsh Didwania

  • Contact email:

    s.didwania@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 2 months ago

  • Expiry date:

    2022-05-01

  • Startdate:

    ASAP

We have partnered with an exciting Crypto FinTech that is hiring a highly motivated Compliance Officer who will be responsible for handling inquires related to Nadex rules and membership obligations, and compliance with CFTC regulations. Additionally, this position will be responsible for conducting investigations into potential Exchange rule violations, performing various compliance-related audits and monitoring, and handling other compliance-related functions.

Responsibilities 

  • Conduct compliance ad-hoc monitoring for potential rule violations or concerning activities related to trading activity, money-laundering and fraud, and other rule violations.
  • Exhibit strong written and verbal communication skills and routinely communicate with market participants regarding compliance-related functions and investigative responsibilities.
  • Communicate compliance analysis and findings to department management and staff, and to other members of the business.
  • Perform AML/KYC, sales solicitations, and marketing material reviews.
  • Monitor and respond to customer and internal questions for Compliance.
  • Conduct and document investigations into potential violations of Exchange rules and/or CFTC regulations.
  • Prepare written reports that are reviewed by management staff or presented to Exchange committees.
  • Support the Chief Compliance Officer and senior compliance staff in audit and regulatory requests from the CFTC and Internal Audit.

Requirements

  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience.
  • Minimum 1-3 years in compliance in financial services, or equivalent experience.
  • Should have working knowledge of CFTC Regulations for Designated Contract Markets (DCM) and Derivatives Clearing Organizations (DCO).
  • Excellent written and oral communication skills.
  • Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
  • Demonstrated ability to successfully multitask and prioritize job responsibilities.
  • Intermediate experience with MS Outlook, MS Word, and MS Excel

You can apply by:

Selecting the “Apply” button below or by contacting me directly.

As a Fintech market specialist, I am partnered with a myriad of large and small Fintech Companies across the country. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Sparsh Didwania, s.didwania@hamlynwilliams.com or (619) 332-6398

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