Job Description:
• Develop, Implement, and enforce a comprehensive and effective compliance program designed to meet all federal and state regulatory requirements applicable to CFTC-registered Designated Contract Markets, including the Commodity Exchange Act, Bank Secrecy Act, and emerging regulations applicable to digital assets.
• Coordinate the timely preparation and submission of required regulatory filings; prepare Annual CCO Report.
• Conduct and document compliance and operational risk assessments; identify potential areas of vulnerability and implement corrective action plans.
• Create, update, and enforce the firm's compliance policies and procedures, ensuring they are well-documented and reflect best practices.
• Investigate and document compliance-related inquiries and issues, escalating to CRO when necessary.
• Develop and maintain a system for tracking and reporting compliance-related requirements; ensure the timely preparation and completion of requisite regulatory filings and reports, risk assessments, and updates to policies and procedures.
• Train and supervise Market Surveillance employees conducting real time and T+1 market surveillance.
• Develop and deliver compliance training for all personnel.
Requirements:
• Bachelor's degree
• 7+ years of experience in a financial services regulatory and compliance environment, such as at an exchange/MTF, trading firm, or regulator, with significant exposure to derivatives.
• Deep understanding of the Commodity Exchange Act, related CFTC regulations, the Bank Secrecy Act (AML/KYC), and compliance best practices. Experience with compliance requirements of foreign jurisdictions is a plus.
• Knowledge of exchange traded financial products and markets, understanding of trading strategies and market surveillance systems, and digital assets.
• Proven ability to manage compliance functions.
• Must be initiative-taking, flexible, innovative, and adaptive.
Benefits:
• Offers Equity
• Offers Bonus
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