Sr. Compliance Associate R.J. O'Brien & Associates
THIS JOB HAS EXPIRED Position Summary
Administer the rules and regulations of the futures and swaps industry as well as the internal policies and procedures of RJO.
Duties & Responsibilities
Oversee the day to day compliance of the futures sales and trading desks in the New York office.
Oversee the day to day compliance of the trading desks in NY (Structured Products/OTC) related to CFTC and Exchange/DCO swap rules and regulations. Monitor swap activity initiated from NY office to ensure compliance with swap recordkeeping and reporting rules (including real-time reporting).
Provide assistance to Branch Manager ensuring adherence of laws, regulations and firm policies and procedures, ensure supervision requirements are met.
Provide advice/address issues related to NY Foreign Exchange Desk. This includes advising on and monitoring those FX products that are considered swaps under CFTC regulations.
Serve as local compliance resource (answer questions/provide advice/address issues) for NY office.
Assist in addressing regulatory requests that involve activity initiated from NY office.
Special projects, as required.
Other responsibilities as determined by Compliance Dept management.
Experience & Skills Required
5 to 7 years progressive experience with industry rules and regulations at an exchange, NFA or CFTC or in swaps industry. Knowledge of new regulations promulgated as a result of Dodd-Frank Act. Knowledge of business practices in swaps industry.
Ability to communicate in writing as well as over the phone. Courteous demeanor. Ability to develop a relationship with customers and associates of company. Ability to encourage questions before actions are taken.
Must possess the ability to uncover and evaluate a set of facts to determine the actual events that transpired.
Must be able to work on a number of different tasks at the same time. Ability to meet tight deadlines.
Bachelor Degree in a financial area.
Microsoft Office, Word, Excel, Microsoft Outlook, AS400
||New York, NY |
THIS JOB HAS EXPIRED