Vice President, Legal & Compliance

Vice President, Legal & Compliance

About the Company

Global firm overseeing CFTC compliance across sales, trading, and international operations.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Vice President for Legal and Compliance with a focus on financial crimes and compliance in trading. The successful candidate will serve as a Compliance Officer for both the Swap Dealer and CPO/CTA entities, with a primary responsibility of overseeing and enhancing the firm's CFTC compliance program across sales and trading activities. This role is pivotal in supporting both U.S. and international operations, ensuring that regulatory risks are effectively identified, managed, and controlled across applicable frameworks. Key responsibilities for the Vice President include overseeing the firm's CFTC compliance framework, providing day-to-day advisory support to global sales and trading teams, and ensuring that regulatory requirements are integrated into business processes. The role also involves reviewing and approving new products, services, trading strategies, and business initiatives to mitigate compliance risks, as well as developing and maintaining compliance policies, procedures, and training programs. The Vice President will be the primary point of contact for regulators, manage examinations and inquiries, and support regulatory reporting obligations. Additionally, the role requires the development of supervisory frameworks to manage conflicts of interest and collaboration with various internal teams to ensure the consistent application of regulatory requirements. The ideal candidate for this position at the company will have a strong background in financial crimes and compliance, particularly in the context of trading. A deep understanding of CFTC regulations and experience in managing compliance for global operations is essential. The role demands a proactive approach to identifying and mitigating compliance risks, as well as the ability to develop and implement effective compliance programs. The candidate should be adept at compliance monitoring and surveillance, including the use of technology and AI-driven tools to enhance program effectiveness. Strong communication skills are necessary for interacting with regulators and for providing guidance to internal teams. A collaborative mindset and the ability to work with cross-functional teams are also key attributes for this role.

Functions

• Legal