Legal and Compliance Officer for Financial Services Company in Chicago, IL

egal and Compliance Officer for Financial Services Company! Legal & Compliance Officer needed for an investment management company in the loop. Responsible for implementing and maintaining compliance program for SEC broker-dealer and NFA introducing broker; Responsible for drafting and responding to SRO; Serve as the futures specialist on the compliance team; Consult on complex futures matters; Draft and implement policies and procedures; Develop audit programs; Draft internal compliance circulars; Implement risk assessment programs for the futures business; Monitor all proposed CFTC, NFA and Exchange rules; Monitor and review SRO websites for rule changes, compliance circulars or informational memorandum; Perform audits of the firm's branches, desks and brokers; Perform due diligence work on prospective introducing brokers. A JD is strongly preferred for the position. Interested candidates please e-mail resumes to (click to respond)(click to respond). Additional Information Location