Chief Compliance Officer

You will design, implement, and manage the derivatives compliance program for futures, event contracts, and options on futures. You will serve as the primary compliance contact for regulators, advise on new product launches and policy changes, oversee exams and audits, review marketing for regulatory alignment, and coordinate responses with Legal, Risk, and Internal Audit. This role requires in-person attendance in Chicago or New York.

Responsibilities

• Lead and maintain the derivatives compliance program including policies procedures and internal controls
• Advise business teams on regulatory requirements for futures event contracts and options on futures
• Oversee regulatory interactions including exams inquiries and reporting obligations
• Coordinate responses with Legal Risk and Internal Audit
• Review marketing and promotional materials for regulatory alignment
• Support firm initiatives impacting derivatives compliance such as system implementations and risk programs

Requirements

• 8+ years of experience in financial services compliance including at least 5 years focused on futures derivatives or related products
• Active FINRA Series 3 license
• Strong knowledge of CFTC and NFA regulations
• Experience developing and maintaining compliance policies procedures and control frameworks
• Ability to analyze regulatory requirements and translate them into actionable guidance
• Experience working with regulators or prior experience at a regulatory agency such as the CFTC or NFA

Benefits

• Performance driven compensation with bonus programs equity ownership and 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet flexible benefits spending account for wellness and learning
• Employer-paid life and disability insurance fertility benefits and mental health benefits
• Paid time off company holidays sick time and parental leave
• Office experience with catered meals events and comfortable workspaces