Compliance Officer

Company Description

Advance Trading, Inc. (ATI) is a forward thinking, non-proprietary commodity brokerage firm providing risk management and market guidance to grain producers, commercial elevators, and end users including energy producers and livestock feeders. ATI’s client base spans the entire globe, with businesses throughout North America, South America, Europe, Africa, Asia, and the Middle East. Our highly skilled team delivers individualized strategies, sound advice, and solid recommendations based on extensive research and market analysis, giving our clients a competitive edge in today’s complete marketplace.

Job Description

The Compliance Officer will be responsible for monitoring the organization's activities and processes to ensure adherence with all applicable NFA and CFTC rules and regulations.

Essential Duties and Responsibilities

Daily collaboration with management and staff to clarify regulation issues and distribute information to all company employees
Serves as the liaison between the company and CFTC, NFA and relevant exchanges
Manage Anti-Money Laundering training and related processes
Associated Persons Registrations Process
Approve all new accounts prior to trading
Partner with IT Department on Cybersecurity program
Manage, update and test Disaster Recovery Program
Review, edit and approve promotional communications for publication
Regularly audit correspondence via e-mail, instant messaging, web sites and social networking
Conduct on site compliance audits at Corporate office and all Branch locations
Prepare and file required regulatory reports
Attend industry compliance-related events and conventions
Handle all internal compliance inquiries
Stay up to date of changes and updates in regulatory/industry trends

Knowledge, Skills, and Abilities

Ability to interact with various business channels and levels of management
Ability to effectively transfer information through strong written and verbal communication channels
Logic and reasoning skills
Ability to maintain a high level of confidentiality
Ability to work under pressure
Ability to multitask, prioritize various duties and pay close attention to details
Strong reading comprehension skills to thoroughly understand technical and legal documents, Knowledge of legal requirements and procedures
Ability to interpret laws and regulations

Qualifications

Bachelor’s Degree in Finance, Accounting, Statistics, Economics, Management or related field
3-5 years of Compliance Officer experience
Experience as an Introducing Broker of Futures Commission Merchant
Series 3 license OR ability to pass the Series 3 licensing exam within 90 days of hire
Strong computer skills with experience in Microsoft Office with focus on Microsoft Excel
Ability to travel 25-50%
Permanent authorization to work in the U.S. for any employer

Additional Information

All your information will be kept confidential according to EEO guidelines.