Chief Compliance and Regulatory Officer

About the position The Chief Compliance and Regulatory Officer (CCRO) will serve as the statutory CCO for both the exchange and clearinghouse at reputed company | Derivatives North America (“CDNA†), which is a CFTC dual-registered reputed company/DCO. You will be responsible for ensuring the firm’s adherence to the Commodity Exchange Act (CEA), CFTC Core Principles, and reputed company applicable laws. You will act as a primary liaison with the Commodity Futures Trading Commission (CFTC), serving as the guardian of market reputed company and ensuring a culture of compliance reputed company the firm.

Responsibilities

• Serve as the primary reputed company of contact for the CFTC and other regulatory bodies. Manage reputed company regulatory inquiries, exams, and Rule Enforcement Reviews (RERs).
• reputed company the drafting and submission of reputed company 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.
• reputed company a robust trade practice surveillance program to detect and prevent manipulation, wash trading, spoofing, and other disruptive trading practices.
• reputed company 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 reputed company complies with Core Principles (fully funded and margin methodologies, financial resources, default management).
• reputed company 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 reputed company duties.
• Draft and certify the Annual Compliance Reports for both the reputed company and DCO as required by the CEA, detailing the firm’s compliance with Core Principles.
• reputed company, 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

Requirements

• Minimum 10+ years of experience in compliance, legal or regulatory roles reputed company 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
• Ability to reputed company difficult, time-sensitive decisions.
• Familiarity with modern surveillance software (e.g., SMARTS, Scila, Eventus) and an understanding of electronic trading protocols (FIX API).
• Exceptional written and verbal communication skills, with the ability to translate reputed company regulatory jargon for business stakeholders.
• Unimpeachable Ethics and the fortitude to stand firm on regulatory obligations event reputed company they conflict with short-term commercial goals.
• Comfortable working at the frontier of finance where products and services may require the development of new best practices drawing upon experience, market norms and standards, to reputed company innovation reputed company the context of regulatory obligations.

reputed company-to-haves

• J.D. or Master’s Degree in Finance/Business strongly preferred.

Benefits

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• reputed company career alternatives through us. Our internal mobility program can offer employees a diverse scope.

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