Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM

Responsibilities

• Design, implement, and enhance compliance programs for the FCM and IBs, ensuring alignment with Commodity Exchange Act and CFTC requirements.
• Prepare and submit the CFTC Annual Report for the FCM, including testing results and remediation tracking.
• Partner with Risk to maintain the FCM's risk management program, including independent testing and model/limit governance.
• Enhance trade and communications surveillance, and fair dealing controls for the FCM and IBs.
• Conduct risk-based compliance testing and ongoing monitoring for FCM and IB requirements, tracking findings and corrective actions.
• Serve as the point of contact for FCM and IB regulatory examinations and inquiries, coordinating responses and data production.
• Monitor regulatory developments and industry guidance, driving impact assessments and gap analyses.
• Oversee compliance with books-and-records requirements, including daily trading records and voice/electronic communications retention.
• Provide proactive advisory support to Front Office, Operations, and Technology on FCM/IB rules and regulations.
• Develop and deliver targeted training on regulatory changes and control enhancements to relevant stakeholders.

Qualifications

• Bachelor's degree is required; advanced degree or recognized compliance credential is preferred.
• Minimum of 10 years of experience in compliance, legal, risk, or audit, focused on derivatives or securities at an SD, SBSD, broker-dealer, FCM, or bank.
• Demonstrated expertise in governance, CCO reporting, compliance testing, and management of regulatory exams.
• Strong understanding of business conduct standards, disclosures, suitability, and trading recordkeeping.
• Experience with risk management program requirements, trade surveillance, and escalation frameworks.
• Proficiency in data analysis and control documentation, with experience in reporting/surveillance tools preferred.
• Excellent communication skills, with the ability to explain complex regulations clearly.
• High integrity, sound judgment, and a strong ownership mindset, able to thrive in a fast-paced, control-focused environment.
• Regulatory acumen and practical judgment in applying CFTC and NFA rules.
• Structured problem-solving skills and a collaborative approach to challenging and influencing stakeholders.