Associate, Regulation

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee daily trade practice surveillance and assist in the onboarding process of new clients.

• Aid in the preparation of regulatory submissions to the CFTC, ensuring they are timely and precise.

• Regularly assess and revise exchange policies and procedures to ensure compliance with the Commodity Exchange Act and CFTC regulations.

• Detect, investigate, and report potential trade practice violations in alignment with regulatory mandates.

• Collaborate with the regulatory team regarding trade practice violations, including conducting investigations and regulatory reporting.

• Track market participation, pertinent news, and the economic performance of industries related to exchange contracts.

• Provide rotational support during market hours to guarantee ongoing and efficient market surveillance.

⛳️ Requirements

• A minimum of 1 year of experience in market regulation or compliance within a DCM, exchange, broker-dealer, or regulatory oversight organization.

• Strong attention to detail and a sense of accountability when handling sensitive or time-sensitive information.

• Willingness to support rotating shifts during live market coverage periods.

• Familiarity with case management and market surveillance tools is advantageous.

• A keen interest in prediction markets, sports trading, or financial markets.

• May need to obtain a gaming license from the relevant state agency as a condition of employment.

🏝️ Benefits

• Bonus

• Equity

• Benefits as applicable

• Assistance with the gaming license process if relevant to the position