Difference between revisions of "Job Postings"

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Revision as of 04:14, 28 July 2016

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Welcome to our job board! Click on a sponsor below to see open positions within the company. Scroll down further to see featured job postings. Submit a job posting by filling out this form or contacting us at jobs@johnlothian.com.

Premier and Partner

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Contributors

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Friends

3Points Communications ADM Investor Services Applied Research Company Barchart
CQG Cunningham Trading Systems DRW Exchange Analytics
Integritas Financial Consulting The Financial and Energy Exchange Group Intermarket Communications Marquette Partners
Object Trading Itiviti (formerly Orc Group) PDQ ATS
Trade Alert Tradeweb


Featured Jobs

National Futures Association

Supervisor, Examinations

Organization: National Futures Association
Date Posted: March 1, 2016
Location: Chicago, IL
Website: www.nfa.futures.org/nfa-careers
To Apply: Through NFA web site
Description: A Supervisor's main responsibility is to support NFA's regulatory programs through monitoring the activities of Members through examinations, financial analysis, investigations and surveillance. The goal of monitoring is to enable NFA to keep abreast of significant developments occurring at Member firms and in the industry.

Responsibilities:

  • Develop a thorough understanding of the examination, monitoring, and investigative techniques utilized by NFA and relevant rules and regulations with which Member firms are required to comply.
  • Work with the team to plan examinations of Member firms by understanding their business objectives, structure, policies, processes, internal controls, and identifying risk areas for focus.
  • Assist Manager with reviewing examination work papers, confirming validity of findings, and preparing final examination reports.
  • Review communications with member firm personnel regarding deficiencies and/or apparent violations as well as corrective action.
  • Increase industry, market, regulatory and technical expertise by participating in training/educational opportunities, keeping abreast of industry developments, reading regulatory publications and participating in industry organizations.
  • Participate in performance management process by providing constructive feedback to staff regarding work product.
  • Promote NFA's brand through day-to-day communications with Members and industry professionals.

Requirements:

  • Bachelor's degree with a business-oriented major.
  • 3-5 years financial services experience, preferably in regulatory compliance, auditing or risk management.
  • Strong knowledge of GAAP and GAAS.
  • Strong analytical and problem-solving skills.
  • Strong verbal and written communication skills with the ability to effectively articulate ideas and positions to senior individuals and in group meetings.
  • Strong networking and relationship-building skills.
  • Ability to work in a team setting, both as a leader and a participant.
  • Ability to manage multiple assignments and priorities.
  • Ability to travel 25 to 40 percent.
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Manager, Examinations

Organization: National Futures Association
Date Posted: March 1, 2016
Location: Chicago, IL
Website: www.nfa.futures.org/nfa-careers
To Apply: NFA web site
Description: The main responsibility is to support NFA's regulatory programs through monitoring the activities of Members through examinations, financial analysis, investigations and surveillance. The goal of monitoring is to enable NFA to keep abreast of significant developments occurring at Member firms and in the industry.

Responsibilities:

  • Develop a thorough understanding of the examination, monitoring and investigative techniques utilized by NFA and relevant rules and regulations with which Member firms are required to comply.
  • Oversee examinations, financial analysis, investigations and surveillances to make sure that they are completed in accordance with the Compliance Department's standard and to ensure that staff applied the appropriate level of professional skepticism.
  • Provide staff with training and other learning opportunities that will enable them to complete their assignments effectively in the ever changing futures industry.
  • Review reports received from Member firms to identify significant items, events or trends and summarize results that may require further action by other teams within the organization.
  • Identify and evaluate appropriate news articles and industry information in order to determine impact to Member firms.
  • Participate in examination planning meetings and provide input to the scope development.
  • Review the department's functions and seek opportunities to create new and innovative ways for enhancing productivity.
  • Increase industry, market, regulatory and technical expertise by participating in training/educational opportunities, keeping abreast of industry developments, reading regulatory publications and participating in industry organizations.
  • Participate in performance management process by providing constructive feedback to staff regarding work product.
  • Promote NFA's brand through day-to-day communications with Members and industry professionals.

Requirements:

  • Bachelor's degree with a business-oriented major.
  • 4-7 years financial services experience, preferably in regulatory compliance, auditing or risk management.
  • Strong knowledge of GAAP and GAAS.
  • Strong analytical and problem-solving skills.
  • Strategic, innovative and creative thinking with ability to assist the department in developing best practices.
  • Strong verbal and written communication skills with the ability to effectively articulate ideas and positions to senior individuals and in group meetings.
  • Strong networking and relationship-building skills.
  • Ability to work in a team setting, both as a leader and a participant.
  • A high level of initiative.
  • Previous managerial experience.
  • Ability to travel 20 to 30 percent.
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Compliance Examiner, OTC Derivatives

Organization: National Futures Association
Date Posted: March 1, 2016
Location: New York
Website: www.nfa.futures.org/nfa-careers
To Apply: NFA web site
Description: A Compliance Examiner's main responsibility is to support NFA's regulatory programs through examinations, investigations, surveillance, and monitoring of NFA swap dealers (SD) and major swap participants (MSP) Members. This position may likely involve travel to domestic and foreign SDs and MSPs.

Duties/Responsibilities include:

  • Develop a thorough understanding of the examination, monitoring, and investigative techniques utilized by NFA and relevant rules and regulations with which Member firms are required to comply.
  • Work with team to plan examinations of Member firms by understanding their business objectives, structure, policies, processes, internal controls, and identifying risk areas for focus.
  • Participate in field examinations of Member firms' OTC derivatives businesses in order to identify key issues, including possible compliance deficiencies or violations. Review issues with the senior examination staff and assist in preparing post-examination reports.
  • Analyze documents submitted by SDs and MSPs pursuant to implementing regulations under Section 4s of the Commodity Exchange Act and engage with Member firms to ensure that policies and procedures demonstrate an ability to comply with the regulations.
  • Engage in day-to-day communications with SDs, MSPs and other industry professionals as required to assist firms in complying with Dodd Frank and NFA requirements.
  • Participate in financial analysis, ongoing monitoring, and the investigation of complaints and inquiries received from the public.

Requirements: Bachelor's degree in business oriented major. 0-3 years' financial services experience, preferably in regulatory compliance, risk management, auditing, or operations. Excellent written and verbal communication and interpersonal skills. Strong analytical and problem resolution skills. Strong organizational skills and attention to detail. Ability to work effectively in a team environment. Ability to manage multiple assignments and priorities. Proficient computer skills in Microsoft Office products.

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Senior Compliance Examiner, OTC Derivatives

Organization: National Futures Association
Date Posted: March 1, 2016
Location: New York
Website: www.nfa.futures.org/nfa-careers
To Apply: Through NFA web site
Description: A Senior Compliance Examiner's main responsibility is to support NFA's regulatory programs through examinations, investigations, surveillance, and monitoring of NFA Swap Dealers (SD) and Major Swaps Participants (MSP) Members. This position may likely involve travel to domestic and foreign SDs and MSPs.

Duties/Responsibilities include:

  • Develop a thorough understanding of the examination, monitoring, and investigative techniques utilized by NFA and relevant rules and regulations with which member firms are required to comply.
  • Work with team to plan examinations of member firms by understanding their business objectives, structure, policies, processes, internal controls, and identifying risk areas for focus.
  • Lead, execute and document test work in accordance with OTC Derivatives examination methodology.
  • Assist Manager with reviewing examination work papers, confirming validity of findings, and preparing final examination reports.
  • Review communications with member firm personnel regarding deficiencies and/or apparent violations as well as corrective action.
  • Communicate examination progress and findings by providing information in status meetings.
  • Analyze documents submitted by SDs and MSPs pursuant to implementing regulations under Section 4s of the Commodity Exchange Act and engage with member firms to ensure that policies and procedures demonstrate an ability to comply with the regulations.
  • Participate in financial analysis, ongoing monitoring, and the investigation of complaints and inquiries received from the public.
  • Effectively complete special projects as requested by management.
  • Actively participate in internal meetings by bringing issues or ideas to the department's attention.
  • Increase industry, market, regulatory and technical expertise by participating in training/educational opportunities, keeping abreast of industry developments, reading regulatory publications, and participating in industry organizations.
  • Participate in performance management process by providing constructive feedback to junior staff regarding work product.
  • Promote NFA's brand through day to day communications with SD and MSP registrants and industry professionals.
  • Contribute to NFA's goal of building a first-class OTC Derivatives team by seeking opportunities to enhance member experience with the NFA, working with Managers to identify and recommend methods for improving existing practices of the regulatory program, and creating new, innovative ways for enhancing productivity within the department.

Requirements: Bachelor's degree in business oriented major. 3-5 years' financial services experience, preferably in regulatory compliance, risk management, auditing, or operations. Outstanding written and verbal communication and interpersonal skills. Strong analytical and problem resolution skills. Strong organizational skills and attention to details. Strong relationship building skills. Ability to confidently interact with different areas of a financial firm. Ability to work in a team setting, both as a leader and a participant. Ability to apply a balanced regulatory approach in a rule driven environment. Ability to manage multiple assignments and priorities. Proficient computer skills in Microsoft Office products. Familiarity with Listed and/or OTC derivatives market. Familiarity of the Dodd-Frank Wall Street Reform Act as it pertains to swap transactions and swap intermediaries is considered a plus.

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