Head Of Futures Compliance
PhaxisChicago, IL
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Overview
Remote
On-site
Job Description
Growing broker dealer client is seeking a Senior Futures Compliance leader to oversee its U.S. FCM, IB, and GIB activities. This role manages a small advisory team professionals.Responsibilities:
- Lead U.S. FCM compliance oversight and supervise advisory staff.
- Ensure compliance with National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), and applicable exchange rules.
- Manage regulatory inquiries, examinations, BCACs, policies, and management documentation.
- Maintain compliance calendar obligations and oversee risk escalation.
- Act as primary liaison to Desk Heads and business lines.
- 10+ years of financial services compliance or legal experience.
- Strong FCM, IB, and GIB expertise.
- Prior leadership experience required.
- Bachelor's degree in a related field.
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FAQs About Head Of Futures Compliance Jobs at Phaxis
What is the work location for this position at Phaxis?
This job at Phaxis is located in Chicago, IL, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Phaxis?
Candidates can expect a pay range of $225,000.
What employment applies to this position at Phaxis?
The employer has not provided this information. This may be discussed during the hiring process.
What is the process to apply for this position at Phaxis?
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