Regulatory Compliance Director, Predictions

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

📋 Description

• Direct the preparation, evaluation, and submission of regulatory documents, rule modifications, notices, and other communications to the Commodity Futures Trading Commission and other regulatory authorities.

• Supervise investigations into possible breaches of internal policies, market conduct standards, and regulatory obligations, ensuring prompt escalation and resolution of identified concerns.

• Collaborate with senior management to formulate and implement regulatory compliance strategies that align with business goals while upholding market integrity and regulatory compliance.

• Oversee regulatory reporting duties and assist in ensuring that compliance programs, policies, and procedures are effective and aligned with changing regulatory expectations.

• Work in tandem with Product, Operations, Legal, Risk, and other cross-functional teams to pinpoint compliance risks and execute practical, scalable solutions.

• Develop and sustain robust relationships with regulators and external stakeholders, acting as a reliable representative of the organization on regulatory issues.

• Provide leadership and direction within the Regulatory Compliance function, including serving as the senior compliance lead when necessary.

• Assist in the development of future products and initiatives by assessing regulatory implications and helping to establish compliant operational frameworks.

⛳️ Requirements

• A Bachelor’s Degree in Finance, Economics, Business, Law, or a related discipline.

• A minimum of 10 years of progressive experience in regulatory compliance, market regulation, or regulatory oversight within a Designated Contract Market, Derivatives Clearing Organization, futures commission merchant, broker-dealer, exchange, or regulatory agency.

• Extensive knowledge of derivatives or financial market regulations, including experience working with the Commodity Futures Trading Commission or similar regulatory entities.

• Strong comprehension of the complete trade lifecycle, encompassing order management, execution, clearing, settlement, and reconciliation processes.

• Proven experience leading intricate regulatory investigations and managing regulatory examinations, inquiries, or reporting obligations.

• Knowledge of market surveillance platforms, case management systems, and compliance monitoring tools.

• Outstanding analytical, organizational, and problem-solving abilities with meticulous attention to detail and the capability to handle sensitive information responsibly.

• Excellent communication and relationship-building skills, with experience in influencing stakeholders and collaborating effectively across various teams and leadership levels.

🏝️ Benefits

• bonuses

• equity

• benefits as applicable