Head of Central Compliance

Madison-Davis, LLC; New York (NY); Presencial; USD 120.000 - 180.000; Jornada completa

Descripción de la vacante

A growing event-based trading marketplace is looking for a Head of Central Compliance to lead and build their compliance framework. This high-visibility role involves overseeing compliance policies, regulatory engagement, and ensuring adherence to CFTC and NFA requirements. The ideal candidate will have strong experience in compliance governance, regulatory advisory, and market integrity, making a significant impact in shaping compliance strategies. This position is located in New York, New York.

Formación

• Proven experience in regulatory compliance for CFTC and NFA.
• Strong understanding of compliance frameworks and governance.
• Excellent communication and leadership skills.

Responsabilidades

• Lead the firm’s compliance framework and governance.
• Maintain enterprise-wide policies and procedures.
• Act as a regulatory advisor to the business.

Conocimientos

Regulatory advisory

Compliance governance

Market integrity

Employee conduct

Risk assessments

Descripción del empleo

A senior leadership opportunity with a growing event-based trading marketplace that operates under CFTC and NFA oversight. They are looking to hire a Head of Central Compliance to lead and further build out their firmwide compliance framework.

This role is responsible for overseeing the design and execution of the central compliance program, including policies and procedures, governance, employee conduct, training, and regulatory engagement. You would serve as a key compliance leader partnering closely with the business, operations, technology, and the CCO, while acting as a primary point of contact for CFTC and NFA examinations, inquiries, and ongoing regulatory matters.

The position is heavily focused on regulatory advisory, compliance governance, and market integrity. You would provide guidance on CFTC and NFA requirements applicable to derivatives and event-based markets, support new product and contract launches, manage employee trading and Code of Ethics programs, and oversee monitoring, testing, and regulatory reporting. This is a high-visibility role with meaningful ownership across compliance strategy, program enhancements, and regulatory engagement.

Overview

• Lead the firm’s compliance framework and governance, including supervisory controls, compliance risk assessments, annual testing, regulatory filings, and serving as the primary contact for CFTC and NFA examinations and inquiries.
• Own and maintain enterprise-wide policies and procedures, covering employee trading, trade surveillance, conflicts of interest, communications, recordkeeping, and the Code of Ethics, while partnering with technology and operations to implement effective, system-based controls.
• Act as a regulatory advisor to the business, providing guidance on CFTC and NFA requirements for derivatives and event-based markets, supporting new product launches, monitoring regulatory developments, and coordinating responses to regulators and external counsel.