• Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation. • Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests. • Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts. • Assist Operations in the implementation and monitoring of surveillance systems alert rules. • Assist with the creation, development, and review of surveillance rules, alerts and procedures. • Identify and investigate regulatory issues that arise from FCM customer activity. • Support the implementation of AML/KYC, sales solicitations, and marketing material reviews. • Support Compliance in new product and business plan implementations, including compliance training. • Formulate and implement compliance solutions as well as assess their effectiveness.