The US head of Compliance (Chief Compliance Officer) is a senior leadership role responsible for designing, implementing, and overseeing the firm's comprehensive compliance framework in New York. If you want to know about the requirements for this role, read on for all the relevant information. This position plays a critical role in ensuring the organization's adherence to applicable regulatory requirements, with particular focus on National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) rules and requirements, as well as relevant FINRA broker‐dealer obligations. As a strategic partner to executive and business leadership, the role actively coordinates locally and globally with business partners to embed a culture of regulatory excellence and operational integrity throughout the firm's futures and listed derivatives activities. Products covered:
Responsibilities include:- (but are not limited to):Lead the implementation and oversight of the firm's US compliance program(s).Ensure compliance with CFTC, NFA, and exchange (e.g., CME) regulations governing futures and derivatives trading as the
- Oversee registration and licensing obligations, including NFA filings, renewals, and disclosures (e.g., for Introducing Broker or FCM status).Develop and enforce internal policies and procedures related to AML/KYC, trade surveillance, risk disclosures, and customer onboarding.
- Serve as the firm's primary liaison with US regulatory bodies (e.g., NFA, CFTC, FINRA), auditors, and legal counsel.
- Monitor regulatory developments and ensure timely adaptation of internal policies and controls.
- Conduct internal audits, compliance testing, and risk assessments to identify and remediate potential issues.
- Collaborate with Central Compliance teams and global compliance leaders embed scalable, resilient compliance workflows.
- Lead compliance training programs and promote a culture of integrity and regulatory accountability across the organization.
- Manage compliance reporting, including key risk indicators and
- Oversee vendor relationships and ensure third‐party compliance with regulatory and contractual obligations. xmcpwfu
- Demonstrated expertise in U.S. regulatory frameworks, particularly those governed by the CFTC, NFA, and FINRA.8–10+ years of progressive experience in compliance, legal, or regulatory roles within futures, derivatives, proprietary trading, or
