Director – Futures Merchant, FCM

• Lead the compliance function for ’s registered Futures Commission Merchant (FCM)
• Build, execute, and maintain a regulatory compliance program aligned with CEA, CFTC regulations, and NFA rules
• Author and submit the mandatory Annual Report to the CFTC and Board of Directors under 17 CFR § 3.3
• Serve as primary point of contact for the CFTC and NFA during examinations, audits, inquiries, and regulatory filings
• Advise executive leadership and the Board of Directors on regulatory developments, rule changes, and compliance risks
• Establish and oversee market surveillance for event contract markets
• Detect, investigate, and prevent market manipulation, spoofing, wash trading, insider trading, and abusive trading practices
• Manage prediction-market regulatory issues, including settlement verification, event determination governance, and prohibited-insider restrictions
• Monitor order flow, account activities, and position limits in real time
• Oversee AML, KYC, and CIP policies in accordance with the BSA and NFA Rule 2-9
• Direct transaction monitoring, OFAC sanctions rescreening, risk rating methodologies, and SAR reporting
• Maintain customer protection frameworks, customer-fund segregation, and capital adequacy monitoring
• Collaborate with Product, Engineering, and Operations to embed automated compliance and surveillance controls
• Review and approve promotional materials, marketing collateral, website content, and disclosures under NFA Rule 2-29
• Oversee complaint handling, customer communications, recordkeeping, and supervisory controls
• Report to the Chief Compliance Officer, Crypto Derivatives North America, and the Board of Directors

• 5+ years of senior compliance experience within a CFTC-regulated entity (FCM, DCM, DCO, or Swap Dealer) or financial regulatory agency (CFTC, NFA, SEC, FINRA)
• Deep understanding of the Commodity Exchange Act (CEA), CFTC regulations, NFA rules, and standard derivatives market structures
• Hands-on experience designing and operating compliance monitoring, AML/KYC workflows, and market surveillance programs
• Bachelor’s Degree in Finance, Business, Law, or a related field
• Prior registration or qualification to serve as an FCM Chief Compliance Officer under 17 CFR § 3.3 preferred
• J.D. or Master’s degree preferred

Demonstrates expertise in regulatory compliance within CFTC-regulated entities, including the development and execution of compliance programs aligned with CEA and CFTC regulations. Proficient in AML, KYC, and market surveillance practices, with a strong ability to advise leadership on compliance risks and regulatory changes.

• CFTC Regulations
• AML/KYC Workflows
• Market Surveillance Programs
• Commodity Exchange Act (CEA)
• Chief Compliance Officer Qualification

• Regulatory Compliance Program Development
• Transaction Monitoring
• Market Manipulation Detection
• Order Flow Monitoring
• Customer Protection Frameworks
• Risk Rating Methodologies
• Annual Report Submission
• Event Contract Market Oversight
• Supervisory Controls
• Capital Adequacy Monitoring

• Advisory Skills
• Collaboration
• Communication

• Bachelor’s Degree in Finance, Business, Law, or Related Field
• J.D. or Master’s Degree Preferred

• Futures Commission Merchant (FCM)
• NFA Rules
• CFTC
• FINRA
• SEC
• Derivatives Market Structures
• BSA Compliance
• Prohibited-Insider Restrictions
• Customer-Fund Segregation
• Regulatory Filings