The Broker Assistant will assist brokers with commodity trading and daily trade verification.  Excellent interpersonal skills are a must because this individual will interact with a large volume of customers via phone calls, email, and IMs to enter customer orders into an electronic order entry system.

Essential Duties and Responsibilities

• Serves as primary contact for assigned customers
• Accept and enter new orders, changes, and cancellations into electronic order system
• Reconcile HMS trades to ensure order entry accuracy
• Verify previous day trades
• Reconcile accounts and update customer information
• Create reports for customer and broker use
• Reconcile monthly broker commissions
• Plan and organize meetings as needed
• Other duties as assigned

Knowledge, Skills, and Abilities

• Ability to learn quickly, thrive in a fast-paced environment and adapt to changing timelines
• Attention to detail with a high level of accuracy
• Ability to work in a fast-paced environment with high call volume
• Ability to multi-task and prioritize assigned tasks
• Ability to problem solve
• Ability to remain calm in stressful situations
• Strong customer service skills
• Ability to work independently and in a team-oriented environment

Required Qualifications

• 1 – 3 years experience providing outstanding customer service
• Flexibility with shift hours
• Strong verbal and written communication skills
• Proficient computer skills, including knowledge of Microsoft Word and Microsoft Excel
• Demonstrated planning and organizational skills, the ability to handle multiple tasks with frequent interruptions, ability to prioritize work and deal with strict deadlines

Preferred Qualifications

• Knowledge of futures and option trades
• Knowledge of commodity markets
• Agricultural background

The Compliance Manager will be responsible for monitoring the organization’s activities and processes to ensure adherence with all applicable NFA and CFTC rules and regulations.

Essential Duties and Responsibilities

• Daily collaboration with management and staff to clarify regulation issues and distribute information to all company employees
• Serves as the liaison between the company and CFTC, NFA and relevant exchanges
• Manage Anti-Money Laundering training and related processes
• Associated Persons Registrations Process 
• Approve all new accounts prior to trading
• Partner with IT Department on Cybersecurity program
• Manage, update and test Disaster Recovery Program
• Review, edit and approve promotional communications for publication 
• Regularly audit correspondence via e-mail, instant messaging, web sites and social networking
• Conduct on site compliance audits at Corporate office and all Branch locations
• Prepare and file required regulatory reports
• Attend industry compliance-related events and conventions
• Handle all internal compliance inquiries
• Stay up to date of changes and updates in regulatory/industry trends

Knowledge, Skills, and Abilities

• Ability to interact with various business channels and levels of management
• Ability to effectively transfer information through strong written and verbal communication channels
• Logic and reasoning skills
• Ability to maintain a high level of confidentiality
• Ability to work under pressure
• Ability to multitask, prioritize various duties and pay close attention to details
• Strong reading comprehension skills to thoroughly understand technical and legal documents, audit reports and email communications
• Analytical and interpretive skills
• Knowledge of legal requirements and procedures
• Ability to interpret laws and regulations

Required Qualifications

• Bachelor’s Degree in Finance, Accounting, Statistics, Economics, Management or related field
• 3-5 years of Compliance Officer experience
• Experience as an Introducing Broker or Futures Commission Merchant
• Series 3 license OR ability to past the Series 3 licensing exam within 90 days of hire
• Strong computer skills with experience in Microsoft Office with focus on Microsoft Excel
• Ability to travel 25-50%
• Permanent authorization to work in the U.S. for any employer

Preferred Qualifications

• 1-3 years of management experience