CFTC/NFA Compliance VP - Derivatives & Regs Expert

Madison-Davis, LLC; Houston (TX); Vor Ort; USD 180.000 - 240.000; Vollzeit

Zusammenfassung

Madison-Davis, LLC is seeking an experienced Vice President of Compliance to lead CFTC and NFA regulatory matters within its investment adviser program. The role requires interpreting complex rules, advising business teams, and managing regulatory filings.

You will oversee or support CPO/CTA registrations, forms CPO-PQR and CTA-PR, and monitor disclosures, reporting, and recordkeeping across funds and trading activities.

Qualifikationen

• Bachelor's degree required; JD or compliance credential is a plus.
• 5+ years of compliance or legal experience in investment management, commodities, derivatives, or financial services.
• Hands-on experience interpreting CFTC regulations and applying NFA rules.
• Experience with CPO/CTA registrations, exemptions, or exclusions, and NFA filings.
• Knowledge of CPO-PQR and CTA-PR reporting preferred; SEC-registered adviser knowledge is a plus.

Aufgaben

• Serve as SME on CFTC/NFA requirements for funds, accounts, and trading activities.
• Prepare and coordinate CPO-PQR, CTA-PR filings, notices, and annual affirmations.
• Monitor regulatory obligations including disclosure, reporting, and recordkeeping.
• Review new funds, strategies, instruments, and counterparties for commodity/derivatives implications.
• Provide guidance on futures, options, swaps, and other derivatives products.
• Translate regulatory changes into practical policies, procedures, and controls.
• Collaborate with investment, legal, operations, finance, and external providers.
• Support compliance risk assessments, annual reviews, and audits.

Kenntnisse

CFTC regulations

NFA rules

Regulatory filings

Compliance leadership

Investment management

Ausbildung

Bachelor's degree

JD or compliance credential

Tools

Excel

Compliance systems

Regulatory filing platforms

Jobbeschreibung

Madison-Davis, LLC is seeking an experienced Vice President of Compliance to lead CFTC and NFA regulatory matters within its investment adviser program. The role requires interpreting complex rules, advising business teams, and managing regulatory filings.

You will oversee or support CPO/CTA registrations, forms CPO-PQR and CTA-PR, and monitor disclosures, reporting, and recordkeeping across funds and trading activities.