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

Wellness contribution program with access to ClassPass

Job summary

LMAX Group is seeking a hands-on US Compliance Officer to lead the build-out of its US regulatory presence. This critical role involves navigating US regulatory frameworks, managing licensing efforts, and implementing compliance policies.

Ideal candidates will possess 5–12+ years of compliance experience with US regulators, strong drafting skills, and a proactive approach to regulatory challenges. The position offers a salary range of $150,000 - $250,000, along with benefits like a 401K pension plan and private medical coverage.

Qualifications

• 5–12+ years of experience in financial services compliance, preferably with US regulators.
• Experience in licensing processes like SEF and BitLicense highly desirable.
• Strong understanding of trade reporting and market surveillance.

Responsibilities

• Drive and support the build-out of US regulatory presence.
• Manage US regulatory strategy across derivatives and digital assets.
• Draft, implement, and maintain compliance policies and procedures.
• Support day-to-day compliance operations across US activities.

Skills

Experience interacting with US regulators

Understanding of CFTC regulatory framework

Strong drafting skills

Solution-oriented communication skills

Job description

We are seeking a hands‑on US Compliance Officer 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:

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

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

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 authorisation
• 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

• Advise senior management on regulatory risks and strategic opportunities
• Translate regulatory developments into actionable internal changes

Salary Range: $150,000 - 250,000

Requirements:

Experience

• 5–12+ years of experience in financial services compliance, preferably within:
• Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
• Experience in licensing processes (SEF, BitLicense, ATS, or similar) highly desirable

Technical Knowledge

• Strong understanding of:
• CFTC regulatory framework (especially SEFs and swaps)
• 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
• 25 daysof holiday (PTO)
• Bonus
• Pension: 401K
• Private medical, dental, and vision coverage
• Life insurance
• TriNetPlatform
• Wellness contribution program with access to ClassPass