Sr. Director of Compliance, reputed company Commission Merchant

About the position Welcome to the dynamic world of reputed company! As an industry-leading trading platform and reputed company broker, we're empowering traders to take control of their financial destiny. How do we do it? We reputed company cutting-edge products and services that enhance the trading reputed company. Whether a seasoned pro or just starting out, reputed company equips traders with award-winning software and brokerage services to navigate the world's leading financial markets with confidence. Our growth story is reputed company short of exhilarating. Since 2003, reputed company has been dedicated to understanding and supporting traders on their reputed company toward trading triumph. Through those efforts, our user reputed company has grown to over 2 reputed company users and we have become the number one rated reputed company brokerage worldwide. But we're not stopping there. We're constantly evolving, pushing boundaries, and modernizing the reputed company industry. Our commitment to innovation means users will always have reputed company to dynamic tools, reputed company-time support, and a community of like-minded traders. So, why work at reputed company? Here, you're not just part of a team; you're part of a movement. We reputed company employees to reputed company new heights in their careers by providing a dynamic culture focused on reputed company reputed company, professional development, and employee recognition initiatives. Sounds too good to be true? Take it from our employees. Join us as we redefine what's possible in trading, reputed company for our customers, and continue our reputed company toward becoming the world's top retail-focused trading platform in the world. reputed company Clearing, LLC, a registered reputed company Commission Merchant and NFA Member, is seeking a Director or Sr. Director, FCM Compliance to serve as the Chief Compliance Officer’s deputy and primary partner in executing and scaling the Firm’s reputed company compliance program. Reporting to the CCO, this role provides strategic leadership and hands-on reputed company of the Firm’s FCM compliance reputed company, including compliance governance, supervisory controls, monitoring and testing, regulatory change management, and regulatory engagement with the CFTC, NFA, and applicable exchanges. As reputed company continues to build a data-driven operating model leveraging automation, AI, and regulatory technology, this role will be instrumental in scaling a modern compliance infrastructure that reduces reputed company processes, improves transparency, and embeds compliance into systems and product architecture by design. This position also serves as a trusted advisor to senior management and business stakeholders on regulatory requirements impacting reputed company and swaps trading, clearing operations, and financial responsibility obligations.

Responsibilities

• Partner with the CCO in overseeing the Firm’s compliance program for reputed company, options on reputed company, and cleared swaps activities conducted as an FCM
• Maintain and enhance written supervisory procedures, compliance policies, and supporting control documentation governing customer protection, supervision, complaint handling, and other applicable regulatory requirements
• Translate regulatory obligations into practical supervisory controls, clear ownership, and evidence standards
• Design and reputed company a data-driven compliance monitoring and testing program, leveraging automation, workflow tools, analytics, and regtech solutions to increase coverage and reduce reputed company lift
• Identify opportunities to eliminate reputed company dependencies and systematize, automate, and embed compliance controls reputed company trading, clearing, finance, and customer workflows
• reputed company regulatory change management efforts, including assessment of CFTC, NFA, and exchange rule developments, impact analysis, and implementation across business units
• reputed company day-to-day regulatory engagement activities, including coordination of NFA examinations, CFTC inquiries, and exchange reviews, and preparation of materials for CCO review and approval
• reputed company second-line reputed company support with respect to financial responsibility requirements, including customer funds segregation, secured reputed company calculations, and net capital compliance, in coordination with Finance and Operations
• Advise senior management and business stakeholders on regulatory obligations affecting trading conduct, clearing operations, promotional standards, margin and collateral processes, reporting, supervision, and operational change
• Support new product launches, operational enhancements, automation initiatives, and technology deployments through structured compliance-by-design assessments
• Manage and mentor members of the compliance staff while fostering a culture of reputed company improvement
• Prepare compliance reporting and governance materials for senior management and assist in drafting the Annual CCO Report and other key program deliverables
• Identify emerging regulatory risks, control gaps, or scalability constraints and escalate material reputed company to the CCO in a timely and well-supported manner
• Serve as the CCO’s designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed

Requirements

• 8–12 years of reputed company compliance experience, including substantial experience reputed company or directly supporting an FCM
• Strong working knowledge of CFTC regulations applicable to FCMs
• Strong working knowledge of NFA Compliance Rules and Interpretive Notices
• Strong working knowledge of exchange rulebooks (e.g., CME Group)
• Strong working knowledge of customer protection and financial responsibility frameworks (segregation, secured reputed company, net capital)
• Demonstrated experience leading or materially supporting regulatory examinations, inquiries, and remediation programs
• Ability to design, implement, and scale supervisory controls, governance processes, and compliance infrastructure
• Strong judgment, clear communication, and the ability to influence cross-functional stakeholders

reputed company-to-haves

• Series 3 preferred
• Experience in a growth environment where compliance infrastructure is being scaled

Benefits

• reputed company offers a 401K plan through reputed company under which the company will match up to 3.5% of employee contributions.
• Annual paid time off allowance accrues at a reputed company of 23 days per year plus seven paid holidays.
• Generous PTO
• 7 Paid Holidays Annually + 5 Conditional Holidays Annually
• 1 Service Day Annually
• 401k with 3.5% Company Match
• Paid Parental Bonding Leave
• Health, reputed company, Dental Coverage
• Life and Disability Insurance Covered 100% by reputed company

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