Manager, Derivatives Compliance

1 мес. назад

USASeniorRemote

compliance managementcftc regulationsregulatory affairsaudit management

Lead and manage derivatives compliance for 's CFTC-registered designated contract market, ensuring regulatory adherence and protection of licenses.

Обязанности

Own the day-to-day leadership of CDE's Market Regulation Department as second-in-command, providing continuity and decision-making in the Chief Regulatory Officer's absence
Drive CDE's compliance posture across all applicable CFTC regulatory requirements, identifying gaps and implementing corrective actions
Lead the management of internal and external examinations and audits, coordinating responses and ensuring timely resolution of findings
Partner with CDE trade surveillance personnel to review escalated cases, assess potential rulebook violations, and determine appropriate enforcement actions
Strengthen cross-functional alignment by advising CDE personnel and partner teams on DCM Core Principles, CFTC regulations, and CDE's rulebook and policies

Другое

Ready to do the most impactful work of your career? At  , we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.”  learn more about working at .
As the Manager, Derivatives Compliance, you'll serve as the second-in-command of the Market Regulation Department for 's CFTC-registered designated contract market. Working closely with CDE's Chief Regulatory Officer, you'll help ensure CDE impartially and effectively meets its obligations as a highly regulated futures exchange and self-regulatory organization, directly shaping the compliance and regulatory posture that protects our customers and our licenses.
7+ years of experience providing compliance and regulatory support for CFTC-registered designated contract markets (DCMs) or derivatives clearing organizations (DCOs)
Demonstrated experience engaging directly with senior CFTC staff, including the Division of Market Oversight, Division of Clearing and Risk, and Market Participants Division
Deep knowledge of CFTC Core Principles with proven ability to analyze and apply to ensure DCM maintains compliance with applicable regulations
Strong grasp of  market fundamentals, trading practices, investigative and surveillance techniques, sufficient to evaluate complex potential violations
Proven ability to synthesize regulatory observations into clear written memoranda, reports, and information requests for stakeholders at all levels, including regulators
Track record of managing multiple concurrent regulatory workstreams across cross-functional stakeholders while maintaining quality and meeting deadlines
Utilizes generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality.
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