US Compliance Lead

LMAX Group; New York (NY); On-site; USD 150,000 - 250,000; Full time

Benefits offered by this job

25 days of holiday (PTO)

Bonus

Pension: 401K

Private medical, dental, and vision coverage

Life insurance

TriNet Platform

Wellness contribution program

Five volunteering days

Job summary

LMAX Group is seeking a hands-on US Compliance Lead to develop and support our US regulatory presence. This role is ideal for experienced compliance professionals who thrive in both strategy and execution. You will navigate US regulatory frameworks, implement compliance infrastructure, and manage licensing processes including NYDFS BitLicense and CFTC SEF registration.

The position requires substantial expertise in financial services compliance and direct experience with US regulators. The successful candidate will benefit from generous perks including a competitive salary range of $150,000 - $250,000.

Qualifications

• 5–12+ years of experience in financial services compliance.
• Experience with US regulators (CFTC, NFA, NYDFS).
• Direct experience in licensing processes.

Responsibilities

• Drive and support the US regulatory presence.
• Manage US regulatory strategy across derivatives and digital assets.
• Draft and implement compliance policies.

Skills

Financial services compliance

Regulatory strategy

Licensing processes

Strong communication

Job description

We are seeking a hands‑on US Compliance Lead to drive and support the build‑out of our US regulatory presence. This role is ideal for an experienced compliance professional who is comfortable operating at both strategic and execution levels.

You will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential.

• Digital asset licenses including: NYDFS BitLicense application
• CFTC SEF (Swap Execution Facility) registration
• CFTC Digital Commodity Exchange framework (subject to legislative developments)

This is a hands‑on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.

The US Compliance Person is responsible for:

Regulatory Strategy & Licensing

• Lead and support US regulatory strategy across derivatives and digital assets
• Manage and contribute to licensing processes, including:
  • CFTC SEF registration
  • NYDFS Bit License application
  • Potential CFTC Digital Commodity Exchange authorization
• Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others)

Policy & Framework Development

• Draft, implement, and maintain compliance policies and procedures including:
  • Market conduct and surveillance
  • AML/KYC and financial crime controls
  • Trade and transaction reporting
  • Governance and internal controls
• Ensure alignment with both US frameworks and existing UK/Singapore regulatory obligations

Execution & Operations

• Support day‑to‑day compliance operations across US‑related activities
• Build and implement regulatory reporting processes (CFTC, NFA, state regulators)
• Establish and oversee monitoring, surveillance, and control frameworks
• Assist with onboarding processes and client due diligence

Cross‑Border Coordination

• Work closely with compliance, legal, and operations teams in the UK and Singapore
• Ensure consistency in global compliance standards while adapting to US regulatory requirements

Regulatory Change & Advisory

• Monitor US regulatory developments (including digital asset legislation)
• Advise senior management on regulatory risks and strategic opportunities
• Translate regulatory developments into actionable internal changes

Salary Range:

$150,000 - $250,000

Experience

• 5–12+ years of experience in financial services compliance, preferably within:
  • Digital Assets, trading venues (SEF, MTF, exchanges), FX or derivatives
  • Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
  • Experience in licensing processes (SEF, BitLicense, ATS, or similar)

Technical Knowledge

• Strong understanding of:
  • CFTC regulatory framework (especially SEFs and swaps)
  • US market structure for derivatives and/or digital assets
  • Trade reporting, market surveillance, and compliance controls
  • Familiarity with cross‑border regulatory frameworks (UK FCA, MAS) is a plus

Working Style

• Highly hands‑on and execution‑oriented
• Comfortable working in a lean, entrepreneurial environment
• Ability to move between strategy and detailed implementation
• Strong drafting skills (policies, procedures, regulatory submissions)

Personal Attributes

• Proactive, pragmatic, and solutions‑oriented
• Strong communicator with ability to engage regulators and internal stakeholders
• Comfortable building from scratch in a developing regulatory environment

Benefits

• 25 days of holiday (PTO)
• Bonus
• Pension: 401K
• Private medical, dental, and vision coverage
• Life insurance
• TriNet Platform
• Wellness contribution program with access to ClassPass
• Plumm Platform
• Five volunteering days