Enforce regulatory standards set by the CFTC, NFA, and applicable derivatives clearing organizations (DCOs).
Compile regulatory risk reporting, support risk attestations, and liaise during regulatory audits.
Real-Time Risk & Exposure Monitoring
Monitor real-time and end-of-day risk exposures, client positions, and trading activities across all client futures accounts (equities and digital assets).
Identify, investigate, document, and escalate risk-limit breaches, abnormal trading activities, or position spikes in a timely manner to senior management.
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