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The Chief Compliance Officer (CCO) will lead the Firm in all compliance
related activities and will be responsible for day-to-day compliance and
related supervisory functions of self-clearing FCM.
The CCO has responsibility for monitoring the Firm's clearing operations and
ensuring that we adhere to all laws and regulations, as well as internal
rules, policies and procedures.
The CCO will work closely with the senior management team to devise and
implement compliance policies and procedures that will act as a foundation
for the firm. The successful candidate possesses extensive knowledge of
SRO and exchange rules, and also has a detailed understanding of trading and
clearing operations.
The CCO will leverage this knowledge to implement a comprehensive compliance
solution for the firm.
Responsibilities
* Identify and manage all compliance activities
* Develop internal compliance manuals for the firm
* Establish comprehensive policies and procedures to comply with all legal
and regulatory requirements
* Prepare the annual report required by regulations and SRO.
* Manage internal and external audits, and respond to any regulatory
inquiries
* Perform periodic internal audits of procedures to ensure compliance
* Participate in negotiation and drafting of firm contracts
* Be the point person for enforcement of anti-money laundering rules
* Perform due diligence checks during new account opening process
* Communicate with senior management on all compliance issues, including all
relevant developments in the USA market
* Be informed about the latest regulatory compliance requirements and
educate staff about requirements
Required Skills and Attributes
* Bachelor's degree in Accounting, Finance, or related field
* About 2-5 years futures industry experience, including several years
working in compliance
* Detailed knowledge of NFA, CFTC, and CME clearing rules/regulations
* Ability to develop strong relationships with industry peers
* Conversational Mandarin is helpful.
* Motivated self starter who can take ownership of all compliance issues
To submit your English application, in strict confidence via: Jessica.t@
seekerhr.com or call Jessica at: (86)020-22370189/(86)13828464693. Your
interest will be treated in the strictest of confidence. |
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