Support oversight, execution, and ongoing management of compliance and risk program
Own day-to-day regulatory compliance activities
Act as primary day-to-day liaison with CFTC and NFA
Partner with Product, Engineering, and Marketing teams to embed compliance requirements
Lead the development, implementation, and maintenance of compliance policies, procedures, and internal controls
Help build and manage compliance operations
Drive improvements to compliance processes, tooling, and systems
Prepare materials and insights for executive-level reporting
Collaborate with Legal and Public Affairs on regulatory strategy

10–12+ years of experience in compliance, risk, or regulatory roles
Hands-on experience supporting design, launch, or scaling of regulated market infrastructure or financial products
Strong working knowledge of Commodity Exchange Act (CEA), CFTC Core Principles, NFA Rules, market surveillance, financial integrity, and compliance monitoring requirements
Experience participating in regulatory exams, audits, and reviews
Ability to engage confidently with regulators, internal stakeholders, and senior leaders
A pragmatic, solutions-oriented mindset with a strong ethical compass
Bachelor's degree required; JD or advanced regulatory/compliance certifications a plus

Senior Director, Compliance

About this role