ACA Compliance Group Holdings, LLC

  • NFA Compliance Expert

    Job Locations US-Chicago | US-New York
    Job ID
    2018-1078
    Category
    Compliance
    Type
    Regular Full-Time
  • Overview

    The candidate hired into this position will assist ACA’s CFTC/NFA Division leadership in delivering on our core offerings for CPO/CTA clients.  They will also assist with the maintenance and improvement of Division resources, templates, etc.

     

    The position offers significant opportunity for growth. The successful Analyst/Consultant, with promotion to higher levels, will independently manage their own roster of clients and ultimately participate in the Division’s business development efforts, including:

     

    • Prospect meetings and calls
    • Proposal writing and delivery
    • Negotiation of engagement terms (scope, pricing, etc.)
    • Increasing awareness of the CFTC/NFA Division through networking at ACA and industry conferences

    Responsibilities

    • Assistance with all aspects of firm and individual registration
    • Development and implementation of compliance manuals/programs
    • NFA Self-Examination reviews and mock NFA examinations
    • Telephone and email consulting
    • Promotional material reviews
    • Compliance training, including periodic ethics training

    Qualifications

    • 2-5 years of experience with a relevant regulator (CFTC/NFA)
    • Strong technical knowledge of CFTC regulations and NFA rules, in particular those applicable to CPOs and CTAs
    • Excellent verbal and written communication skills
    • Client-facing demeanor- comfortable interacting with the highest levels of premier asset managers (GC, CCO etc.)
    • Independent self-starter
    • Entrepreneurial spirit

    ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.

    Options

    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed