Key Responsibilities

📍Serve as the primary point of contact for the CFTC and other regulatory bodies. Manage all regulatory inquiries, exams, and Rule Enforcement Reviews (RERs). 📍Oversee the drafting and submission of all rule filings (self-certifications and approval requests) under Part 40 of CFTC regulations, ensuring new products and rules meet statutory standards. 📍Advise Executive Leadership and the Board on the regulatory implications of new business lines, products, and technologies. 📍Oversee a robust trade practice surveillance program to detect and prevent manipulation, wash trading, spoofing, and other disruptive trading practices. 📍Lead the market regulation function, conducting investigations into rule violations, and managing the disciplinary process. 📍Work closely with the Chief Risk Officer to ensure the risk management framework complies with Core Principles (fully funded and margin methodologies, financial resources, default management). 📍Oversee the due diligence and onboarding process for Clearing Members including Market Makers and Futures Commission Merchants (FCMs). 📍Prepare materials for and report quarterly to the ROC. Ensure the committee has sufficient information to fulfill its oversight duties. 📍Draft and certify the Annual Compliance Reports for both the DCM and DCO as required by the CEA, detailing the firm’s compliance with Core Principles. 📍Develop, maintain and enforce the firm’s Compliance Manual and Code of Ethics. 📍Identify and manage potential conflicts of interest between commercial interests of the firm and its self-regulatory obligations

Qualifications

📍Minimum 10+ years of experience in compliance, legal or regulatory roles within the US derivatives industry (Exchange, Clearinghouse, FCM, or Regulator) 📍Demonstrated leadership experience managing high-performing compliance teams and interaction with C-suite executives and Board Directors. 📍Expert-level knowledge of the Commodity Exchange Act, especially Parts 38, 39 and 40. 📍Bachelor’s Degree Required 📍J.D. or Master’s Degree in Finance/Business strongly preferred.

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