Director, Regulatory Compliance
Remote-first work environment with flexibility across the United StatesFull-TimeDirector
Salary160,000 - 200,000 USD per year
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Job Details
- Experience
- 10+ years of progressive experience
- Required Skills
- ComplianceStakeholder management
Requirements
- 10+ years of progressive experience in market regulation, compliance, or oversight within financial markets, exchanges, broker-dealers, or similar regulated environments.
- Strong expertise in trade lifecycle processes, including order execution, clearing, settlement, and reconciliation.
- Deep understanding of regulatory frameworks governing market integrity and surveillance practices.
- Proven ability to manage complex, high-volume, time-sensitive regulatory data with accuracy and attention to detail.
- Experience with surveillance tools, case management systems, and regulatory reporting platforms.
- Strong independent decision-making ability with experience handling sensitive investigations and compliance matters.
- Excellent communication and stakeholder management skills, including interaction with regulators and senior leadership.
- Demonstrated interest in financial markets, trading systems, or prediction market structures.
Responsibilities
- Lead daily trade surveillance activities to monitor market behavior, identify anomalies, and ensure compliance with applicable regulations and internal rules.
- Prepare, review, and submit regulatory filings, including rule changes and product submissions, ensuring accuracy, timeliness, and regulatory alignment.
- Investigate, escalate, and resolve potential violations of exchange or market rules in coordination with internal compliance and legal stakeholders.
- Partner with senior regulatory leadership to support investigations, manage enforcement actions, and oversee regulatory reporting obligations.
- Serve as acting oversight lead for market regulation functions when required, ensuring continuity of regulatory governance.
- Build and maintain strong working relationships with internal teams and external regulatory bodies to support ongoing compliance initiatives.
- Act as primary liaison with third-party surveillance providers to implement and enhance market monitoring systems and capabilities.
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