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Director, Compliance - FCM and Options Products in Plantation, FL at TradeStation

Date Posted: 5/23/2023

Job Snapshot

Job Description

Who We Are:
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation. 

What We Are Looking For:
TradeStation Securities Compliance is seeking a highly motivated individual to serve as the Director of Compliance for the Futures, Options and Futures Commission Merchant (FCM) products and activities.   You will lead the day-to-day compliance program for the FCM and provide regulatory compliance guidance and support to various departments.   You will work closely with other lines of business, and functional groups.   You will also work closely within the compliance department to liaison between trade surveillance, legal and trade reporting. 

What You'll Be Doing:
  • Provide day-to-day Compliance advisory services to ensure compliance with CME, NFA and CFTC rules and regulations
  • Collaborate with front, middle and back-office personnel regarding sales and trading activities, reporting obligations, access to markets, registrations/licensing, supervision, conflicts, electronic trading, margin, client money, client on-boarding and other FCM Regulatory requirements
  • Maintain and update policies and procedures reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices
  • Prepare the FCM’s Annual Chief Compliance Officer Reports, presentations, and other materials 
  • Advise on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments as well as implementation of required controls
  • Facilitate new and ongoing regulatory submissions
  • Perform Compliance Risk Assessments and review results with leadership
  • Design training and awareness programs to support compliance with applicable regulatory obligations and of the firm’s compliance-related policies and procedures as necessary
  • Participate in relevant industry association committees, working groups and initiatives
  • Direct projects necessary to support initiatives
  • Identify and escalate issues through formal escalation channels to meet expectations and facilitate timely and effective resolution
  • Evaluate the performance of the compliance program and related activities on a continuing basis with periodic reviews to ensure that compliance issues are being appropriately evaluated, investigated and resolved
The Skills You Bring:
  • Experience in drafting compliance policies, alerts/reminders, and manuals.
  • Comprehensive understanding of the workings of exchanges, clearinghouses, and marketplaces
  • Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
  • Proven ability to communicate effectively at all levels both orally and in writing
  • Excellent business judgment and problem-solving skills.
  • A self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments.
  • Work effectively both in a team environment and independently.
  • Manage complex tasks simultaneously in a deadline-intensive environment.
  • Highly organized, detail-oriented, and energetic individual.
  • Must have a high level of integrity
Minimum Qualifications:
  • 7-10+ years of compliance experience required
  • Series 3
  • Series 7 and 24 or Series 14 preferred
Desired Qualifications:
  • Bachelor’s degree
What We Offer:
  • Collaborative work environment
  • Competitive Salaries
  • Yearly bonus
  • Generous 401k plan (US only)
  • Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan (US only)!
  • Unlimited Paid Time Off
  • Flexible working environment
  • TradeStation Account employee benefits, as well as full access to education materials
  • Pay Range (US) $115-185,000 (Countries outside of the US have differing ranges in accordance with local labor markets)

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.