What are the responsibilities and job description for the Senior Compliance Officer position at Arrow Search Partners?
About the Company:
Our client is a technology driven, multi-asset investment firm operating on a global scale. The Senior Compliance Officer will be responsible for providing primary compliance support for U.S. options and futures businesses.
Responsibilities:
- Provide clear and practical guidance regarding the application of regulatory requirements
- Review and approve new business initiatives, products, and markets to ensure full compliance before launch
- Develop, maintain, and update internal compliance policies
- Assist in periodic compliance risk assessments and reviews
- Serve as the primary point of contact and trusted advisor regarding all U.S. options and futures-related compliance matters
- Investigate and prepare comprehensive and accurate responses to regulatory inquiries and examinations
Requirements:
- Bachelor’s degree in finance or related field
- 8-10 years of compliance experience
- J.D a plus
- Strong knowledge in regulatory reporting requirements
- Knowledge of U.S. options and futures market structure
- Proficiency in data analysis and reporting tools
Salary Range:
$200,000-$300,000
Salary : $200,000 - $300,000