Broker dealer located in Chicago looking to bring on board a “Executive Director – FCM Compliance Advisory” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in completing US FCM related regulatory inquiries.Complete or assist in completing US FCM BCAC guidance for management review.Collaborate to ensure Compliance Calendar deadlines are achieved.Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.Field FCM Business Questions.Support the Desk Heads with FCM related compliance matters.Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.At all times complying with Code of Conduct.To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.To report any breaches of policy to Compliance and/ or your supervisor as required.To escalate risk events immediately.To provide input to risk management processes, as required.
...Join Our Growing Dermatology Family at Clear Choice Dermatology in Silverdale! Are you a passionate Medical Assistant/Scribe looking for a rewarding career in dermatology? Do you thrive in a collaborative environment where your skills are valued, and your growth is...
...where all team members ideas make a real impact. As part of our marketing team, youll play a pivotal role in shaping how our agents and... ..., and willingness to learnPREFERRED: Bilingual in Spanish and English (written, speaking)BONUS: Photography and/or videography...
...tool and dies and even engineering. Come grow with KMC Stampings! SUMMARY OF POSITION: Safely and efficiently operates various types of welding equipment to make parts at-rate and accurately to print. Will learn and perform setup tasks for resistance welders to KMC...
...drive meaningful change through our words, our deeds and our culture. Every day, we want every employee to feel they belong to one General Motors team.Benefits OverviewFrom day one, we're looking out for your well-being-at work and at home-so you can focus on realizing...
...Department:University Police Salary:Commensurate with education and experience.DescriptionThe Dispatcher I is responsible for receiving emergency and non-emergency calls; transmits messages via communications systems consisting of a multi-frequency radio system, 9-1...