Related skills
futures derivatives regulatory compliance nfa cftc📋 Description
- Lead RHD compliance program and internal controls (CFTC/NFA)
- Advise on regulatory requirements for futures, event contracts, and options
- Oversee regulatory exams, inquiries, and reporting with Legal, Risk, IA
- Review marketing materials for regulatory alignment
- Support firm-wide derivatives initiatives, systems, and risk programs
🎯 Requirements
- 8+ yrs in financial services compliance; 5+ yrs in futures/derivatives
- Active FINRA Series 3 license; strong CFTC/NFA knowledge
- Experience developing, maintaining compliance policies and control frameworks
- Translate regulatory requirements into actionable guidance for teams
- Experience with regulators (CFTC/NFA) or regulatory agency
🎁 Benefits
- Challenging, high-impact work to grow your career
- Performance-based compensation with bonuses, equity, 401(k) matching
- Best-in-class benefits, 100% paid health insurance for employees
- Lifestyle wallet for wellness and learning
- Employer-paid life and disability insurance, fertility, mental health
- Generous time off: holidays, PTO, sick time, parental leave
- Exceptional office with catered meals and events
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