Senior Compliance Officer

Company Background: Turnkey Trading Partners provides customized support to the brokerage and trading industry. Our specialization is Commodity Futures Trading Commission (“CFTC”) and National Futures Association (“NFA”) rules and regulations. We assist Commodity Trading Advisors (“CTA”), Commodity Pool Operators (“CPO”), Introducing Brokers (“IB”), and Futures Commission Merchant’s (“FCM”) within the alternative and derivatives investment space. Turnkey’s existing team is well versed in operational, accounting, and regulatory matters relating to commodity futures, equities, bonds, options, swaps, forex, cash, digital currency, and physical trading, as well as several other specialized financial markets transaction types.  Our company has been named by leading industry publications and peers as the “Best” derivatives compliance and consulting firm in the industry consistently in our 15-year history.

Need: Turnkey is seeking a Senior Compliance or Operational professional with deep working knowledge of CFTC, NFA, and Commodity Exchange rules and regulations. Candidates will be required to directly engage with our existing customers who outsource certain of their day-to-day functions to our firm.  The role will require at times development of policies and procedures to address changes to customer operations.  Candidates may be required to join conference calls with highly sophisticated legal, accounting, or industry regulatory staff members to implement derivatives industry best practices. Potential hires will also provide audit, review, and examination services with respect to existing customer company policies and processes. These reviews are designed to identify potential weaknesses while also ensuring adherence to industry compliance guidelines. Examples of examinations or reviews conducted by Turnkey may include but are not necessarily limited to AML, Cyber Security, FCM Risk, Mock Audit, Guaranteed IB, and Branch Office testing. Turnkey staff regularly assist customers through regulatory examinations conducted by the CFTC, NFA, CME, ICE, or other exchanges. Candidates will be joining a team of highly trained professionals with years of experience.  Turnkey is striving to streamline and improve existing operations for scalability.  Candidates will be asked to work in the greater Fort Lauderdale/Miami, FL area. Turnkey may consider on a case-by-case basis hiring in Chicago, IL.

Requirements:  At least 3 years’ experience with CFTC and/or NFA regulatory and rule obligations mandatory.  Previous US based financial regulatory agency (CFTC, NFA, CME, ICE, NYMEX etc.) background a plus. Industry experience within the private sector a plus. Four-year degree preferred but not required; experience more important. Previous holder of Series 3, 34, 30 or Swaps Proficiency obligations a plus. Strong business and industry related references required.  Potential hires must be able to observe, evaluate, and identify compliance risks and deficiencies relative to industry requirements. Candidates must also be able to correct or make suggestions about how to remedy identified regulatory deficiencies.  Strong writing skills absolutely essential for documentation purposes, the role will require a great deal of typing.  Proficiencies should include strong working knowledge and experience in Microsoft Excel, Word, and Power Point.  Candidates with knowledge of industry back-office systems, trading platforms, and accounting systems encouraged to apply. Previous background in compliance or audit highly desired but not necessarily required.  Potential hires should desire to be a team player committed to co-workers as well as overall company and individual goals. Should be a self-starter, able to work and think independently.  Should be teachable as industry is always changing and evolving.   Team has years of experience to share with any new hire but desires a candidate that can begin assisting customer base almost immediately. Turnkey is a fast-growing business with increasing compensation and career opportunities.

Interested parties can apply by sending an e-mail with resume attached to