Director - Futures Commission Merchant (FCM)

1. Regulatory Governance & Mandatory Reporting

• Design, implement, and maintain a compliance program meeting all requirements under the Commodity Exchange Act (CEA), CFTC regulations (including 17 CFR Part 1, Part 3, and Part 166), and NFA rules.
• Author and submit the mandatory Annual Report to the CFTC and the Board of Directors pursuant to 17 CFR § 3.3.
• Serve as the primary point of contact for the CFTC and NFA during examinations, audits, inquiries, and regulatory filings.
• Advise executive leadership and the Board of Directors on regulatory developments, rule changes, and compliance risks related to event contracts and prediction markets.

2. Prediction Market & Trade Surveillance

• Establish and oversee a comprehensive market surveillance program to detect, investigate, and prevent market manipulation, spoofing, wash trading, insider trading, or abusive trading practices in event contract markets.
• Establish protocols to manage novel regulatory issues unique to prediction markets, including contract outcome settlement verification, governance on event determination, and restrictions on trading by prohibited insiders or conflicted parties.
• Monitor order flow, account activities, and position limits across customer accounts in real time.

3. Financial Crimes, AML & Customer Onboarding

• Oversee the FCM’s Anti-Money Laundering (AML), Know Your Customer (KYC), and Customer Identification Program (CIP) policies in accordance with the Bank Secrecy Act (BSA) and NFA Rule 2-9.
• Direct transaction monitoring, sanctions rescreening (OFAC), risk rating methodologies, and suspicious activity reporting (SARs).
• Maintain customer protection frameworks, including rules governing the segregation of customer funds (CFTC § 1.20) and capital adequacy monitoring.

4. Operations, Product & Technical Integration

• Collaborate with Product, Engineering, and Operations teams to embed automated compliance and surveillance controls into platform workflows.
• Review and approve promotional materials, marketing collateral, website content, and disclosures in compliance with NFA Rule 2-29.
• Oversee complaint handling, customer communications, recordkeeping, and supervisory controls under NFA Rule 2-9.

• 5+ years of senior compliance experience within a CFTC-regulated entity (FCM, DCM, DCO, or Swap Dealer) or financial regulatory agency (CFTC, NFA, SEC, FINRA).
• Deep understanding of the Commodity Exchange Act (CEA), CFTC regulations, NFA rules, and standard derivatives market structures.
• Hands-on experience designing and operating compliance monitoring, AML/KYC workflows, and market surveillance programs.
• Preferred: Prior registration or qualification to serve as an FCM Chief Compliance Officer under 17 CFR § 3.3.
• Bachelor’s Degree in Finance, Business, Law, or a related field (J.D. or Master’s degree preferred).

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid set-up
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.