2h ago
Sr. Director of Compliance, Futures Commission Merchant (FCM)
Chicago or Remote
full-timedirector Remotefinancial services
Description
You will serve as the Chief Compliance Officer’s deputy, leading and scaling the firm’s futures compliance program. You will provide strategic oversight of compliance governance, supervisory controls, monitoring, and regulatory engagement, while helping build a modern, data-driven compliance infrastructure.
Requirements
- Significant experience in FCM compliance, including regulatory engagement with CFTC and NFA
- Deep knowledge of futures and swaps trading, clearing operations, and financial responsibility obligations
- Proven ability to build and lead compliance programs in a data-driven environment
- Experience with regulatory technology, automation, and AI in compliance
- Strong leadership and communication skills
Responsibilities
- Serve as deputy to the Chief Compliance Officer and primary partner in executing the FCM compliance program
- Provide strategic leadership and oversight of compliance governance, supervisory controls, and monitoring/testing
- Manage regulatory change management and engage with CFTC, NFA, and applicable exchanges
- Scale a modern compliance infrastructure leveraging automation, AI, and regulatory technology
- Act as trusted advisor to senior management on regulatory requirements for futures and swaps trading
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