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Job ID#: 36168
Role: TRADING COMPLIANCE CONSULTANT (TCA or Consultant)
Reports to: directly to Head of Compliance
Primary responsibilities will include but not be limited to the following including the Client providing the necessary access to critical personnel, systems, tools, or information in order for Consultant to:
- Monitoring Trade Activity: Performing daily surveillance of trading activities using automated systems and reports to identify potential violations or unusual patterns.
- Regulatory Reporting and Filings: Preparing and submitting accurate and timely reports to external regulatory bodies like the Commodity Futures Trading Commission (CFTC), exchanges, and clearing brokers. (Exchange Limit Compliance)
- Policy Development and Implementation: Drafting, updating, and implementing internal compliance policies, procedures, and controls to align with evolving local and international regulations.
- Risk Assessment and Auditing: Conducting regular internal audits and risk assessments to identify potential compliance gaps and developing strategies for remediation.
- Advisory and Training: Providing guidance and advice to traders and other internal departments on compliance-related matters and developing and delivering compliance training programs for employees.
- Documentation and Recordkeeping: Maintaining meticulous records and documentation related to trade compliance, licenses, and permits to ensure audit-readiness.
- Investigation and Corrective Action: Investigating potential compliance issues or breaches and working with relevant departments to implement corrective actions.
- Perform any other related duties, tasks, and or ad-hoc activities as assigned by the Head of Compliance or their designee.
Qualified inquiries: Georgia @ gmatthews@proalt.com
Roger @ rreyna@proalt.com
Roger @ rreyna@proalt.com
