Compliance Director

Alexander Chapman; New York (NY); Hybrid; USD 150,000 - 250,000; Full time

Job summary

Alexander Chapman partners with a fast-scaling financial services firm to appoint a Compliance Director to lead the build-out of a US regulatory compliance function in New York. This senior, hands-on role requires strategic leadership and detailed execution across a complex regulatory environment.

The role establishes the US compliance framework from the ground up, translating regulatory requirements into policies, systems, and controls while partnering with senior stakeholders across the

Qualifications

• 5–15 years in financial services compliance
• Exposure to US regulatory frameworks and regulator interaction preferred
• Senior-level leadership with hands-on risk and controls experience

Responsibilities

• Lead US compliance strategy across derivatives and digital asset activities
• Design, draft, and implement core compliance policies and procedures
• Develop regulatory reporting frameworks (CFTC, NFA, NYDFS) and monitoring systems
• Oversee day-to-day US compliance operations

Skills

Regulatory experience

Leadership

Job description

Compliance Director – US Regulatory Build-Out

Location: New York (Hybrid)

Base Salary: Up to $250,000 + Bonus

We are partnering with a fast-scaling financial services firm to appoint a Compliance Director to lead the build-out of a US regulatory compliance function. This is a senior, hands‑on role for an experienced compliance professional who can operate effectively across both strategic leadership and detailed execution in a complex, evolving regulatory environment.

Position Overview

The Compliance Director will be responsible for establishing and leading the US compliance framework from the ground up. The role requires a practical leader who can translate regulatory requirements into effective policies, systems, and controls, while working closely with senior stakeholders across the business.

Regulatory Strategy & Regulatory Engagement

• Lead US compliance strategy across derivatives and digital asset activities
• Support key regulatory applications and registrations, including:
• Potential digital commodity exchange framework (subject to regulatory developments)
• Act as a primary compliance liaison with US regulators (including CFTC, NFA, NYDFS, and others)

Policy Development & Compliance Frameworks

• Design, draft, and implement core compliance policies and procedures, including:
• Market conduct and surveillance frameworks
• AML / KYC and financial crime prevention controls
• Trade and transaction reporting requirements
• Governance and internal control frameworks

Operational Build-Out & Execution

• Oversee day‑to‑day US compliance operations
• Develop and implement regulatory reporting frameworks (CFTC, NFA, and other applicable regimes)
• Establish monitoring, surveillance, and control systems

Candidate Profile

Experience

• 5–15 years in financial services compliance
• Exposure to US regulatory frameworks and regulator interaction strongly preferred