Chief Regulatory Officer, Commodities and Futures

Stuart Rosenthal — Thur, 13 Nov 2008 18:15:58 GMT

OVERVIEW
The Commodities and Futures Chief Regulatory Officer will ensure that commodities and futures businesses operate in compliance with applicable regulations

Responsibilities
Monitoring and documenting the Firms trade flows, order routing/execution and trade reporting functions for best practices and irregularities Maintenance of the Firms commodities and futures compliance policies and procedures

Documenting, categorizing and tracking of the Firms error trades and error trading policies

Qualifications:

10+ years experience in implementing/auditing regulatory issues with CFTC and NFA rules and regulations.
FUTURES EXPERIENCE

NFA Series 3
Participation in start ups, a PLUS

BS/BA, Masters or JD preferred

Contact information below.

_____________________________________________________

Stuart Rosenthal

Vice President - Compliance

Legend Global Search, Inc.

28 W. 44th St New York, NY 10036

SRosenthal@ComplianceHQ.com

LinkedIn Profile

212.293.8920

Legal, Compliance, Accounting, Finance Specialists http://www.LegendGlobalSearch.com

Job search engines: LegalCareers.com, ComplianceHQ.com

Industry News: http://compliancehq.blogspot.com

Corporate Finance Compliance Officer

Eric Anderson — Tue, 18 Mar 2008 20:27:16 GMT

This individual will act as the primary Corporate Finance Compliance Officer for a fast growing, independent, global, institutional brokerage and investment-banking firm. The successful candidate for this position will play an active role in leading the surveillance and regulatory compliance efforts in Corporate Finance and Control Room efforts from the firms headquarters in Boston, MA.

Qualifications

Undergraduate degree; JD strongly preferred

Good communication skills ability to communicate effectively both verbally and in written form

Ability to effectively and proactively communicate with persons of any professional level

Ability to understand, synthesize and communicate urgent information

Ability to multi-task

Ability to take initiative and assume responsibility

Strong work ethic and commitment to Firm and Department; effective member of an integrated team

Series 7 & 24 required within 90 days of employment (if not already registered)

Three years securities law or five years compliance experience

Responsibilities

Primary responsibility is compliance oversight of the firms Corporate Finance and Control Room activities. Work closely with Corporate Finance and act as a resource for education, training and written supervisory procedures. Keep the firm ahead of the regulatory environment. Ensure that information barriers are operating effectively, and accurately address compliance issues. Monitor trading, research and investment banking activity through interaction with business units and regular forensic testing reviews.

Areas of focus include:

Grey/Restricted List
Information Barriers (Wall Crossing)
Research/Banking Interaction
Chaperoning as needed
Review of Deal-related communications
Interaction with foreign affiliate Compliance and Corporate Finance personnel
Structuring of Global Corporate Finance Compliance Efforts
NASD Rule 3012 Internal Controls for Investment Banking/Control Room Compliance

Additional responsibilities:

Primary liaison for corporate finance-related regulatory exams and inquiries
Work with Head of Corporate Finance to ensure adequate surveillance and supervision
Effectively, proactively and in a timely manner communicate information to Corporate Finance and other relevant departments
Provide leadership by proactively identifying opportunities to positively influence the growth and direction of the Firm and Department
Identify regulatory trends and take appropriate action
Provide assistance with subpoena document requests
Proactive coaching and development of junior members of team

Duties may also be expanded into Research compliance, or other interrelated areas.

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Chief Regulatory Officer, Commodities and Futures

Corporate Finance Compliance Officer