Chief Compliance Officer (Series 3)

Confidentiel; Chicago (IL); Remote; USD 150,000 - 210,000; Full time

Job summary

Confidentiel, a U.S.-based digital-asset trading startup, seeks a compliance leader with an active Series 3 to establish and own the U.S. compliance program from the ground up. You will become the listed principal, registered AP, and NFA Security Manager, handling day-to-day compliance after registration.

Based anywhere in the U.S. (Chicago preferred), you will set up ORS as Security Manager, prepare Form 7-R/8-R, develop WSP/AML/ISSP, and train staff.

Qualifications

• Active Series 3 required and eligible for NFA registration.
• Strong working knowledge of CFTC regulations and NFA rules for IBs.
• Ability to build and lead a compliance program from scratch.

Responsibilities

• Set up NFA ORS as Security Manager and lead registration.
• Complete Form 7-R for the firm and Form 8-R for principals/APs; coordinate with guarantor FCM.
• Develop WSP, AML program, ISSP, BC/DR plan, and ethics training procedures.

Skills

Series 3

Regulatory knowledge

English communication

Startup mindset

Tools

NFA ORS access

Form 7-R

Form 8-R

Job description

Can be based anywhere in the US, Chicago preferred.

About us

We are a newly formed U.S. company building a regulated digital-asset trading business for U.S. customers, backed by a global digital-asset exchange group. We are completing our company setup and applying to register with the CFTC and NFA as a guaranteed introducing broker (GIB), with a U.S.-registered futures commission merchant (FCM) as our guarantor. Our team works across the U.S. and Asia.

About the role

We are looking for a compliance leader with an active Series 3 to serve as our listed principal, registered associated person (AP) and NFA Security Manager, and to build our U.S. compliance program from the ground up, starting with our registration. Once we are registered, you will own day- to-day compliance and be our primary contact with NFA, the CFTC and our guarantor FCM.

In your first months, you will:

• Set up our access to NFA's Online Registration System (ORS) as Security Manager and lead
• our registration: Form 7-R for the firm and Form 8-R for each principal and AP, and work with our guarantor FCM to complete the guarantee agreement.
• Work with our legal team and outside counsel to finish our pre-launch compliance documents: written supervisory procedures (WSP), AML program, information systems security program (ISSP), business continuity and disaster recovery plan, and ethics training procedures.
• Agree with our guarantor FCM's compliance team on how responsibilities are divided.

What you'll do

• Registration: serve as listed principal and registered AP; manage our NFA system accounts and permissions as Security Manager; keep firm and individual registration information current; complete the Annual Registration Update, the Member Questionnaire and NFA dues.
• Compliance program: own, run and review annually our WSP, AML program, ISSP, business continuity and disaster recovery plan and ethics training procedures; complete NFA's annual Self-Examination Questionnaire.
• AML: serve as AML Compliance Officer, responsible for customer identification and suspicious activity monitoring, AML training and the annual independent review, in coordination with our guarantor FCM.
• Supervision and training: supervise registered staff and customer-facing activity, and determine which roles require AP registration; run ethics, AML and cybersecurity training; review and approve promotional material and communications with the public (NFA Compliance Rule 2-29), alongside our guarantor FCM's review.
• Regulators and partners: act as our primary contact with NFA, the CFTC and our guarantor FCM; manage examinations, inquiries and deficiency responses; handle customer complaints; maintain required books and records.
• Business partnership: review product, marketing, customer support and growth initiatives before launch and give practical guidance; track CFTC and NFA developments on digital-asset derivatives and event contracts.
• Team: build out the compliance function as we grow, including a backup Security Manager and additional registered staff.

What we're looking for

• An active Series 3 that qualifies for NFA registration (passed within the last two years, or no two consecutive years without registration since passing); able to register as an AP and willing to be publicly listed as a principal.
• 5+ years of compliance, registration or registered experience at an FCM, IB, CTA/CPO or exchange; experience as a listed principal, AP or CCO, or leading an NFA registration, strongly preferred.
• Working knowledge of the CFTC regulations and NFA rules that apply to introducing brokers (supervision, AML, communications with the public, recordkeeping, information security, business continuity), and experience with NFA examinations.
• A clean regulatory record: able to pass NFA's background review (fingerprints, Form 8-R disclosures), with no statutory disqualification under Sections 8a(2) or 8a(3) of the Commodity Exchange Act.
• Based in the U.S., authorized to work in the U.S., and available full-time.
• Excellent written and spoken English; able to write policies and correspond with regulators
• independently.
• Comfortable building processes from scratch in a startup.

Nice to have

• Compliance experience with digital assets, crypto derivatives or perpetual-style futures
• Series 30, or completion of NFA's Swaps Proficiency Requirements
• Experience at a guaranteed IB or working with a guarantor FCM
• Mandarin Chinese (much of our group team works in Mandarin)