Chief Compliance Officer – Futures & Regulatory Leader

International Erosion Control Association; Chicago (IL); Hybrid; USD 180,000 - 280,000; Full time

Benefits offered by this job

Base salary + performance bonus

Comprehensive medical, dental, vision

401(k) retirement plan

Downtown Chicago office with hybrid

Direct exposure to executive team

Job summary

Direct Access USA LLC seeks an experienced Chief Compliance Officer to oversee regulatory compliance, risk management, and supervisory policies for FCM operations in Chicago. You will interface with CFTC, NFA, CME Group, and other exchanges, ensuring adherence to federal statutes, SRO rules, and internal policies across trading, capital segregation, and client structures.

The role requires strong leadership, meticulous oversight of regulatory programs, and proactive engagement with regulators.

Qualifications

• Strong knowledge of CEA and CFTC Regulations (Part 1)
• Experience engaging with NFA, CME audit teams
• Ability to implement and oversee compliance manuals and controls
• Excellent written and verbal communication under pressure

Responsibilities

• Lead regulatory leadership, reporting, and control governance.
• Coordinate regulatory examinations and timely responses to inquiries.
• Oversee customer segregation, capital requirements, and omnibus accounts.
• Manage AML/CIP procedures, EDD, OFAC screening, and SARs.
• Supervise surveillance, e-communications, and trade monitoring.
• Draft formal regulatory instructions to affiliates and brokers.

Skills

Regulatory leadership

Communication & ethics

Audits & examinations

Education

Bachelor's degree in finance, business, or law

J.D. or master's degree preferred

Job description

Direct Access USA LLC seeks an experienced Chief Compliance Officer to oversee regulatory compliance, risk management, and supervisory policies for FCM operations in Chicago. You will interface with CFTC, NFA, CME Group, and other exchanges, ensuring adherence to federal statutes, SRO rules, and internal policies across trading, capital segregation, and client structures.

The role requires strong leadership, meticulous oversight of regulatory programs, and proactive engagement with regulators.