Director/VP for Futures

The Director/VP for Futures will be responsible for providing compliance oversight for a brokerage services business. This business will transact primarily in exchange traded OTC including interest rate, foreign exchange, base and precious metals, and commodities. The Director/VP will develop and manage a compliance monitoring program and supervisory program for futures trading, and will provide technical expertise to the principal and traders. He or she will also work with the futures principal to develop operational policies and procedures, and written supervisory procedures. The Director/VP will coordinate regulatory examinations and inquiries regarding the Futures business, evaluate new product and service initiatives from a compliance perspective, conduct annual and ad hoc training as needed.
REQUIREMENTS
•5-7 years regulatory, compliance and/or legal experience and demonstrated ability in Futures business, including NFA, CFTC, CBT, CME, NYMEX, SEC and NASD.
•Law degree or MBA preferred.
•PC proficient.
•Detail oriented and well-organized.
•Ability to effectively prioritize day-to-day responsibilities and longer term projects in a fast-paced and challenging environment.
•Strong verbal and written communication skills; ability to interact effectively with various levels of management.
•High level of personal integrity and professionalism.

Bill Macdonald

James L. Dooley & Associates
266 W. Coleman Blvd.
Mt. Pleasant, SC 29464
Office: (877) 434-6837 Ext 24
Cell: (201) 696-5446
[Click here for email]