Senior Compliance & Regulatory Leader — Exchange (CFTC)

Paul Murphy Associates LLC; Chicago (IL); Hybrid; USD 170,000 - 260,000; Full time

Benefits offered by this job

401(k) plan with employer match

Health insurance

Vision insurance

Dental insurance

Paid time off

Job summary

Paul Murphy Associates LLC in Chicago seeks a Deputy Chief Compliance and Regulatory Officer to lead the firm’s regulatory program, including CFTC core principles, AML/KYC, and risk management. Hybrid work with on-site three days a week.

The role requires direct CFTC/DCM/DCO experience, strong liaison skills with regulators, and the ability to drive audits, reporting, and training across the organization.

Qualifications

• Experience leading compliance for DCM/DCO or regulator (CFTC/NFA strongly preferred).
• Proven oversight of core principles and market integrity programs.

Responsibilities

• Assist the CCRO in developing and monitoring the firm’s compliance program for the Exchange, ensuring compliance with CFTC Core Principles and the Commodity Exchange Act.
• Serve as the Exchange’s primary liaison to the CFTC, including audits, self-certifications, reporting, and inquiries.
• Oversee policies, internal controls—risk, surveillance, KYC/AML, and information security—to uphold best-in-class standards.
• Drive automation and systems integration for compliance monitoring, regulatory reporting, and trade surveillance.
• Support executive reporting on compliance posture, regulatory updates, and material risks.
• Collaborate with legal, finance, and operations to align and embed compliant practices across functions.
• Lead training initiatives to promote compliance awareness across the Exchange.

Skills

Compliance leadership

Regulatory liaison

Audits & reporting

AML/KYC knowledge

Regulatory frameworks

Regulatory communications

Education

Bachelor’s degree

JD or regulatory certification

Job description

Paul Murphy Associates LLC in Chicago seeks a Deputy Chief Compliance and Regulatory Officer to lead the firm’s regulatory program, including CFTC core principles, AML/KYC, and risk management. Hybrid work with on-site three days a week.

The role requires direct CFTC/DCM/DCO experience, strong liaison skills with regulators, and the ability to drive audits, reporting, and training across the organization.