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compliance kyc aml governance surveillance systems📋 Description
- Support CCO in governance and implementation of FCM policies, procedures, and docs.
- Assist in responding to NFA, CFTC, exchanges, audits, and regulatory requests.
- Conduct surveillance of potential Exchange/CFTC violations via trading alerts.
- Assist Operations with implementing and monitoring surveillance system alerts.
- Identify/regulatory issues from FCM customer activity and investigate.
- Support AML/KYC, and reviews of marketing materials and solicitations.
🎯 Requirements
- Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
- 3+ years in Compliance in financial services, or equivalent experience.
- Knowledge of trade surveillance systems is a plus.
- Excellent written and oral communication skills.
- Proven ability to manage projects and work independently to completion in a fast-paced environment.
- Demonstrated ability to multitask and prioritize responsibilities.
🎁 Benefits
- Attractive annual leave entitlement including: birthday, work anniversary
- 401(k) plan with employer match
- Eligible for company-sponsored health, dental, vision, and life/disability insurance
- Flexi-work hours and hybrid or remote setup
- Internal mobility program offering diverse career opportunities
- Benefits packages vary by region; learn more from talent acquisition
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