Compliance and Regulatory Officer

New

Skills

Compliance Management Investigations Leadership Regulatory Compliance Risk Management

Job Overview

Seeking a seasoned Compliance and Regulatory Officer to manage interactions with the CFTC and regulatory bodies. This role involves overseeing regulatory inquiries and reviews while providing strategic advice on compliance matters.

Responsibilities
  • Manage regulatory inquiries and exams
  • Oversee Part 40 rule filings
  • Advise leadership on regulatory implications
  • Lead trade surveillance activities
  • Conduct investigations and disciplinary actions
Requirements & Qualifications
  • 10+ years of compliance, legal or regulatory experience in US derivatives
  • Leadership experience managing compliance teams
  • Expert knowledge of the Commodity Exchange Act and related regulations
  • Bachelor's Degree Required, J.D. or Master's in Finance/Business preferred

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: 12 Months

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