Futures/Forex Compliance Director

Futures/Forex Compliance Director in Chicago, Illinois | Careers at BRILLP – CHICAGO IL 150 S WACKER Skip to Main Content Please Enable Cookies to Continue Please enable cookies in your browser to experience all the personalized features of this site, including the ability to apply for a job. Welcome page Welcome page Returning Candidate? Log in

Futures/Forex Compliance Director

Job Locations US-IL-Chicago | US-TX-Westlake Requisition ID 2021-67440 Posted Date 1 month ago (1/29/2021 5:06 PM) Category Legal & Compliance Position Type Full time

Your Opportunity

The Futures Compliance Team in Corporate Risk Management supervises all aspects of compliance for Schwab’s futures, forex and virtual currency business, including risk assessments, policies and procedures, training, senior management reporting, Audit and Regulatory exams, testing and managing actions stemming from findings, observations or self-identified issues.

What you are good at

The primary responsibility of the Director – Futures Compliance will be supporting the Chief Compliance Officer or the futures business and working with the current team located in Chicago and Westlake. The Director will also work with key business partners including the business, legal, compliance and risk management, Financial Crimes Risk Management (FCRM) to further the development of a mature and continuously improve the Futures Compliance Program.

The Director will be responsible for:

• Establishing a virtual currency compliance program, including
• Providing advice and mentorship to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls and relating to new products and/or services, risk management and changes in the regulatory environment
• Reviewing futures processes and industry related continuing education for compliance with regulations for FCMs and RFEDs
• Drafting, maintaining and improving relevant policies and procedures
• Supporting projects to implement regulatory and risk initiatives related to Schwab’s futures, forex and virtual currency business through engagement with multiple corporate oversight groups including, Legal, Corporate Risk and Supervision & Controls. This includes any mergers and acquisitions affecting futures compliance.
• Working closely with the Compliance Regulatory Group and Internal Audit Department in support of internal and external regulatory exams and/or inquiries
• Maintaining a keen understanding and awareness of the futures, forex and virtual currency business model, product offerings, regulatory environment and policy infrastructure
• Reviewing promotional material
• Assisting with the production of the annual CCO Report
• Additional responsibilities and special projects based on business and regulatory needs

What you have

• 10 years industry experience, with 5 years futures, forex and virtual currency compliance and regulatory experience
• Experience writing policies, procedures or other business procedure related documents
• Project management skills and the ability or organize and process large amounts of data/information
• Interest in creating change through process improvements, training and streamlining functions
• Confident with ambiguity with an ability to learn quickly and thrive in a sophisticated, dynamic environment
• Demonstrated ability to analyze issues and develop plans, utilizing established connections across Schwab
• Shown ability to collaborate among compliance colleagues and the business and across the Firm
• Ability to be flexible, use sound judgment, solve problems, work under pressure and meet tight target dates
• Results-oriented, able to quickly sort through information and develop concise and clear strategies and solutions
• Advanced skill with Microsoft Word, Excel and PowerPoint
• Positive demeanor, passion, professionalism and strong work ethic with high level of integrity and ethics
• BS/BA degree or equivalent work experience

Options

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The posted salary range describes the minimum to maximum range for this job description in the state of Colorado. The salary range is posted in accordance with the Colorado Equal Pay for Equal Work Act. The salary range for this same position may be lower or higher in markets outside of Colorado.

As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.
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