Compliance Officer - Trade Conduct

MyFundedFutures; Plano (TX); On-site; USD 140,000 - 190,000; Full time

Job summary

MyFundedFutures is seeking an experienced Trade Conduct Compliance Officer to lead surveillance, market conduct, and exchange-level compliance for futures and derivatives trading. You will own the monitoring and escalation of activity across proprietary trading and IB channels, ensuring adherence to CFTC and NFA rules and DCM obligations.

The role emphasizes deep technical understanding of market mechanics, robust investigative capabilities, and collaboration with Risk, Technology, and Business

Qualifications

• Minimum 5+ years of compliance, market regulation, or surveillance experience in a regulated environment.
• Deep knowledge of futures and options on futures, market microstructure, and trading mechanics.
• Working knowledge of anti-manipulation rules, NFA rules, and DCM core principles.
• Hands-on experience with trade surveillance systems and alert triage workflows.
• Familiarity with CAT reporting, Large Trader Reporting, and Form 40 obligations.
• Active Series 3 registration is required; Series 30 is a plus.

Responsibilities

• Design, operate, and enhance the firm's trade surveillance program across prop and IB desks.
• Monitor for manipulative trading practices and escalate findings with documentation.
• Maintain surveillance logs and respond to exchange and regulator inquiries.
• Review order routing, execution quality, and pre-trade controls for compliance.
• Collaborate with Risk, Technology, and Business Conduct on surveillance tooling.
• Assist in regulatory examinations and self-reporting where required.

Skills

Trading compliance

Regulatory knowledge

Investigation skills

Data analysis

Communication

Education

Series 3 (National Commodity Futures Examination)

Series 30 (Branch Manager)

Tools

Python

SQL

Trade surveillance software

NFA/CFTC reporting tools

Job description

We are seeking an experienced Trade Conduct Compliance Officer to serve as the firm's primary subject matter expert on trading surveillance, market conduct, and exchange-level compliance obligations. This individual will be responsible for monitoring, investigating, and escalating trading activity across the firm's proprietary trading operations and IB business to ensure adherence to CFTC regulations, NFA rules, and the rulebooks of applicable Designated Contract Markets (DCMs). This is a highly analytical, market-facing role requiring deep fluency in futures and derivatives trading mechanics.

KEY RESPONSIBILITIES

Trade Surveillance & Market Conduct Monitoring

Design, operate, and continuously enhance the firm's trade surveillance program, covering the full spectrum of manipulative and disruptive trading practices including spoofing, layering, wash trading, pre-arranged trading, and banging the close.

Monitor proprietary trading and IB-introduced order flow for compliance with CFTC Regulation 180.1 (anti-manipulation), 180.2 (price manipulation), and applicable DCM rules.

Conduct daily, weekly, and periodic reviews of trading alerts generated by surveillance systems; triage, investigate, and document findings with appropriate escalation.

Maintain comprehensive surveillance logs and investigation records sufficient to demonstrate a robust supervisory system to NFA examiners.

Liaise with FCM and other exchange surveillance departments in response to inquiries, trading halts, and audit trail requests.

Regulatory Compliance - Trading Operations

Own compliance with audit trail, large trader reporting obligations and ongoing position monitoring.

Monitor and ensure compliance with position limits established FCM across all products traded by the prop desk and IB customers.

Oversee compliance with NFA requirements for trade record-keeping, including order ticket retention, time-stamping, and voice/electronic communication capture.

Review IB order routing and execution quality to assess adherence to best execution standards and identify potential conflicts of interest or front-running risk.

Monitor algorithmic and automated trading strategies deployed by the prop desk for compliance

Assess pre-trade and post-trade controls, working with the Risk and Technology teams to ensure kill switch functionality and other required risk controls are operational.

Investigations & Escalation

Conduct thorough investigations of potential trading violations, preparing detailed investigation memoranda with factual findings and recommended disposition.

Escalate significant findings to the CCO and, where required, support regulatory self-reporting determinations.

Participate in NFA examinations and CFTC inquiries relating to trading conduct, preparing supporting documentation and presenting surveillance program capabilities.

Cross-Functional Collaboration

Partner with teams to deliver proactive compliance guidance on new strategies, markets, and instruments prior to deployment.

Work closely with Business Conduct on shared regulatory matters, firm-wide training, and the annual compliance review.

Collaborate with Technology and Risk on the build-out and ongoing calibration of automated surveillance tooling and alert logic.

QUALIFICATIONS

Required

5+ years of compliance, market regulation, or surveillance experience within a regulated environment (FCM, prop trading firm, IB, DCM market regulation, or DSRO).

Strong technical understanding of futures and options on futures products, market microstructure, and trading mechanics across CME Group, ICE, and other major DCMs.

Working knowledge of anti-manipulation rules, NFA Compliance Rules applicable to trading activity, and DCM Core Principles.

Hands-on experience with trade surveillance systems and alert triage workflows.

Familiarity with CAT reporting, Large Trader Reporting (CFTC Parts 17/18), and CFTC Form 40 obligations.

Series 3 (National Commodity Futures Examination) - active registration required.

Demonstrated ability to conduct and document trading investigations in a regulatory context.

Preferred

Experience with algorithmic and high-frequency trading compliance, including review of automated strategies and pre-trade risk controls.

Familiarity with swap dealer and compliance obligations.

Experience with Python, SQL, or other data analysis tools for trade data review.

Series 30 (Branch Manager) registration.