Hybrid Chief Compliance Officer — CFTC/SEC Expert

crabel capital management, llc; Milwaukee (WI); Hybrid; USD 150,000 - 250,000; Full time

Benefits offered by this job

Discretionary bonus plan

Comprehensive benefits program

Job summary

Crabel Capital Management, LLC in Milwaukee seeks a Chief Compliance Officer to design and administer the firm’s compliance program across CFTC/NFA and SEC obligations. The CCO will advise senior management and interact with principals, operations, trading, and legal functions.

Responsibilities include managing filings and examinations, AML/KYC, ethics, surveillance, and training. The role reports to senior management and requires a hands-on, collaborative leader in a hybrid Milwaukee office (in

Qualifications

• Minimum of 10 years of compliance experience in asset management under CFTC/NFA and SEC regimes.
• Experience as CCO, deputy CCO, or senior compliance officer at a CPO/CTA or registered investment adviser.
• Deep knowledge of the Commodity Exchange Act, Investment Advisers Act, CFTC regulations, and NFA rules.

Responsibilities

• Own and administer the firm’s compliance program, including annual review and testing under the NFA self‑examination questionnaire and Advisers Act Rule 206(4)-7.
• Manage all CFTC/NFA obligations, including CPO-PQR, CTA-PR, disclosure documents, exemption filings, bylaw 1101 diligence, and NFA registration and principal/AP licensing matters.
• Manage all SEC regulatory filings and obligations, including Form ADV, Form PF, Form 13F/13H, Section 16 and 13D/G monitoring, and compliance with the Marketing Rule (206(4)-1).
• Maintain and enforce the Code of Ethics, including personal trading, gifts and entertainment, outside business activities, and political contributions.
• Oversee trade surveillance and market conduct monitoring across futures and FX, including position limits, large trader reporting, and exchange/SEF rule compliance.
• Serve as primary point of contact for regulatory examinations, inquiries, and audits by the CFTC, NFA and SEC; manage responses and remediation.
• Administer the firm’s AML/KYC program and sanctions (OFAC) screening in coordination with investor relations and fund administrators.
• Review marketing materials, investor communications, due diligence questionnaires, and offering documents for regulatory compliance.
• Monitor regulatory developments in both regimes; assess impact and update policies, procedures, and controls accordingly.
• Deliver firm‑wide compliance training and annual certifications; advise employees on compliance questions.
• Oversee compliance aspects of counterparty, vendor, and service‑provider relationships, including FCMs, prime brokers, and administrators.
• Report regularly to senior management on the state of the compliance program, material risks, violations, and remediation.

Education

Bachelor’s degree

Job description

Crabel Capital Management, LLC in Milwaukee seeks a Chief Compliance Officer to design and administer the firm’s compliance program across CFTC/NFA and SEC obligations. The CCO will advise senior management and interact with principals, operations, trading, and legal functions.

Responsibilities include managing filings and examinations, AML/KYC, ethics, surveillance, and training. The role reports to senior management and requires a hands-on, collaborative leader in a hybrid Milwaukee office (in