Senior Compliance Manager

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Requirements:

• At least 7–10 years of experience in regulatory compliance, ideally in the derivatives or financial services industry.
• Deep understanding of CFTC regulations and derivatives market structure.
• Proven leadership experience with the ability to manage teams and collaborate with diverse stakeholders.
• Strong analytical and problem-solving skills, with attention to detail and a proactive approach to compliance challenges.
• Excellent communication skills, with the ability to clearly articulate complex regulatory concepts to diverse audiences.

Responsibilities:

• Serve as the primary point of contact for regulatory matters, including interactions with the CFTC and other regulatory bodies.
• Develop, implement, and maintain a comprehensive compliance program to ensure adherence to all applicable laws and regulations.
• Oversee regulatory filings, audits, and examinations, ensuring timely and accurate submissions.
• Establish and enforce internal policies and procedures to mitigate compliance risks.
• Stay updated on regulatory changes and industry best practices, advising leadership on necessary adjustments.
• Identify, assess, and manage regulatory risks associated with existing and new products.
• Ensure the company fully complies with all CFTC regulations and all other applicable laws and regulations across all operations and activities.
• Oversee the electronic surveillance system to monitor trading activity and detect potential rule violations.
• Conduct investigations into any flagged or suspicious activity, ensuring adherence to exchange and CFTC rules, and take enforcement actions as necessary.
• Lead and mentor a team of compliance professionals, fostering a high-performing and collaborative work environment.
• Partner with cross-functional teams, including product development, legal, operations, and technology, to ensure compliance is integrated across all business areas.
• Provide regular updates to executive leadership and the board on compliance activities, risks, and strategies.
• Represent the company in industry forums and regulatory discussions.