Options/Commodities Compliance Consultant

plumRHINO Consulting has an exciting full-time,permanent opportunity for an Options/Commodities Compliance Consultant  within a large financial services company located in St. Louis, MO 

Compliance Consultant-Options/Commodities


Responsibilities:
This position will report to the Assoc. Manager of Options/Commodities. Provide superior customer service by accurately completing assigned tasks within prescribed deadlines and according to defined standardsConsult with assigned business unit to ensure adherence to laws, regulations, and internal policies and procedures by supporting the development and implementation of effective compliance processes, such as new regulations, product development, training issues, mergers/conversions, etc.Partner with line of business leadership for ongoing identification and resolution of compliance mattersServe on various task forces or project teams to address various compliance and risk management issues; Leverage resources and tools available to monitor compliance across the organization and/or assigned business unit; and confer/escalate complex problems to management resolution. Specifically, the Consultant will have the responsibility for reviewing and monitoring options and commodities/futures accounts and related transactions using various exception reports. The analysis will include review for suitability and risk as to profit/loss in the accounts as well as frequency of trading activities and strategies being used. The consultant must also maintain a thorough knowledge understanding of the options/commodities/futures rules and regulations.

 

Requirements

 Ability to communicate complex compliance issues in a credible and convincing mannerSelf-starter that proactively engages clients and business partnersFamiliar with principles of project management, risk management, and workflow and process designThorough knowledge of rules and regulations in area of expertiseAbility to manage multiple responsibilities and tasks simultaneouslyDemonstrated follow through-through on issues/projects; Proven ability to work effectively with teams assignedBasic understanding of SuperVision, CRA and PBCL Branch Access systemsKnowledgeable regarding applicable policies and procedures for options/commodities/futures; and ability to draft policies and procedures for the sameA minimum of 5-10 years industry experience is requiredSeries 7, 63/66. 9 and 10 licenses are requiredA series 3 and or series 4 is desirable or the ability to obtain within 6 months.



Interested candidates should email their resume as a MICROSOFT WORD ATTACHMENT to jobs@plumrhino.com with Options Compliance Consultant in the subject line of your email.

plumRHINO Consulting is an equal opportunity employer M/F/V/D.