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Job Description: Position Title: Compliance Officer
Est. Start Date: 02/06/2024
Duration: 8 months
Bill rate: ***
Possibility of Extension: Y
Possibility of conversion to FTE: Y
Working hours: 9-5
Working Location: Chicago or NYC [role will be hybrid in office 2 days a week; candidate can be located in either Chicago or NYC]
Role Mandate: The role works closely with the Swap Dealer and Fixed Income, Currencies, and Commodities ("FICC”) LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. This role will have a specific focus on compliance oversight over BMO's Introducing Broker futures activities. The role maintains current knowledge of regulatory requirements and developments, monitors risk, and identifies and corrects possible gaps and weaknesses. This individual will be responsible for the successful implementation and maintenance of the National Futures Association Introducing Broker (IB) program in accordance with CFTC and NFA rules.
Role Responsibilities Include (but are not limited to):
• Leads project to completion, provides process and technical expertise, advice and consulting throughout plan execution.
• Leads process improvements based on post-mortem analysis.
• Leverages feedback to improve processes collaborating with leadership teams across departments.
• Focusing on policy and process build out.
• Monitor and testing of controls.
Must-Have Skills:
• Bachelor's degree required.
• Commodities, Rates, Futures, and regulatory experience preferred.
• Minimum of 5 years of experience with a financial services firm in a compliance role or equivalent experience at a regulator. NFA experience preferred.
• Functional knowledge of multiple FICC market activities preferred.
• Must be a highly motivated candidate with the ability to work independently.
• The ability to multi-task, plan and prioritize a large volume of detail-oriented work in accordance with changing deadlines.
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.
• Strong communication, critical thinking, relationship management, and project management skills
Nice to have Skills
• Regulator Experience,
• Experience with applicable securities laws Series 7, 63, 24 a plus.
Interviews:
• 2 rounds with hiring manager – 30 minutes
Reason for Request:
Est. Start Date: 02/06/2024
Duration: 8 months
Bill rate: ***
Possibility of Extension: Y
Possibility of conversion to FTE: Y
Working hours: 9-5
Working Location: Chicago or NYC [role will be hybrid in office 2 days a week; candidate can be located in either Chicago or NYC]
Role Mandate: The role works closely with the Swap Dealer and Fixed Income, Currencies, and Commodities ("FICC”) LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. This role will have a specific focus on compliance oversight over BMO's Introducing Broker futures activities. The role maintains current knowledge of regulatory requirements and developments, monitors risk, and identifies and corrects possible gaps and weaknesses. This individual will be responsible for the successful implementation and maintenance of the National Futures Association Introducing Broker (IB) program in accordance with CFTC and NFA rules.
Role Responsibilities Include (but are not limited to):
• Leads project to completion, provides process and technical expertise, advice and consulting throughout plan execution.
• Leads process improvements based on post-mortem analysis.
• Leverages feedback to improve processes collaborating with leadership teams across departments.
• Focusing on policy and process build out.
• Monitor and testing of controls.
Must-Have Skills:
• Bachelor's degree required.
• Commodities, Rates, Futures, and regulatory experience preferred.
• Minimum of 5 years of experience with a financial services firm in a compliance role or equivalent experience at a regulator. NFA experience preferred.
• Functional knowledge of multiple FICC market activities preferred.
• Must be a highly motivated candidate with the ability to work independently.
• The ability to multi-task, plan and prioritize a large volume of detail-oriented work in accordance with changing deadlines.
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.
• Strong communication, critical thinking, relationship management, and project management skills
Nice to have Skills
• Regulator Experience,
• Experience with applicable securities laws Series 7, 63, 24 a plus.
Interviews:
• 2 rounds with hiring manager – 30 minutes
Reason for Request:
