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Compliance Officer

op broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, CFTC, NFA, a law firm, an exchange of another broker-dealer or FCM. Responsibilities include: handling regulatory inquiries form the SEC, FINRA, CFTC, NFA and foreign regulators concerning securities, commodities and derivatives trading and compliance issues, researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants and meeting and responding to the SEC, FINRA, CFTC and NFA and other regulators during audits of the firm. Candidate must member in good standing of the bar of any US state or the District of Columbia or appropriately registered compliance officer (i.e. at least a Series 24 and/or Series 3 registration).

Rocklin, California