Counsel and Compliance Officer Responsibilities: Provide legal and compliance support for both the corporation and the interest rate and FX derivatives business with respect to regulatory and compliance issues, corporate law issues and other general legal and compliance matters. Review ISDA master agreements, CSAs, commercial loan documentation and related supporting documents to ensure compliance with Dodd-Frank regulations. Assist clients with determining Eligible Contract Participant status for end-user customers. Manage transactional documentation flow between outside counsel and clients. Manage individual and firm registration requirements including licensing and continuing education. Assist with managing, implementing, and updating the firms compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable state laws and regulations. Provide training on compliance related topics on an as-needed basis. Assist with all audits, including providing responses and developing corrective action plans.
Qualifications: Law degree from an accredited law school in the United States. Licensed to practice law and in good standing in a state in the United States. 3 years regulatory, compliance, operational risk or legal experience in swap related industry required. Strong knowledge of NFA and CFTC and Dodd-Frank regulation related to introducing brokers and swap products. Experience in drafting policies, procedures and other legal documentation. Outstanding communication skills, both oral and written. Eager to join a small and entrepreneurial team looking to revolutionize the banking industry with technology and business friendly solutions. Relocation to Chicago required.
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