Director of Compliance

The Compliance team is a dynamic, high-impact and high-performing group committed to maintaining the integrity and stability of global financial markets. We are seeking a visionary leader to join our team with responsibility over FCM compliance activities, which will be operated within our Joint Venture with FanDuel. The ideal candidate is a self-starter who thrives in a fast-paced environment and is passionate about building and operating robust compliance frameworks that protect the firm and its clients.

What You’ll Get

• A supportive environment fostering career progression, continuous learning, and an inclusive culture.
• Experience supporting an exciting Joint Venture.
• A competitive salary and comprehensive benefits package.

What You’ll Do

• Develop, operate and enforce a robust regulatory compliance framework, ensuring alignment with NFA rules and CFTC regulatory requirements.
• Advise and lead the FCM through regulatory examinations and audits, acting as the primary liaison with regulatory bodies and internal stakeholders.
• Design, operationalize and monitor the FCM’s anti-money laundering program, including onboarding diligence, transaction monitoring, and regulatory reporting.
• Guide and advise on new FCM business initiatives by providing expert counsel to commercial management on complex regulatory matters.
• Refine and prepare appropriate internal policies and procedures, creating clear and actionable documentation.
• Champion a culture of compliance by overseeing training programs and providing interpretive guidance to FCM colleagues.
• Oversee daily FCM operations, including reviewing exception reports, approving new customer accounts, and managing regulatory filings.
• Partner with the Joint Venture entities in efficiently and effectively organizing outsourced services to the FCM’s operations.

What You’ll Bring

• 10-15 years of progressive experience in a financial services compliance role, preferably as a registrant or compliance officer within a retail Futures Commission Merchant (FCM). Legal experience is also welcome.
• Proven ability to work autonomously, owning projects from conception to completion.
• Exceptional skills in designing, maintaining, and enhancing comprehensive compliance documentation, including policies and supervisory procedures.
• A deep understanding of the regulatory landscape and the ability to translate complex rules into practical business solutions.
• Experience with transactional monitoring systems and a strong understanding of their implementation and maintenance.
• Ability to provide appropriate written and verbal compliance and management reporting to Joint Venture partners as required.
• Bachelor's degree or higher.

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We are committed to offering a competitive total rewards package for our employees that recognizes their contributions to the business and reflects our long-term investment in their future. Our compensation program also includes an annual target bonus opportunity for all employees, as well as the opportunity to become an owner in the company through our broad-based equity program. Through our benefits program, we strive to offer flexibility, value and choice. From comprehensive health coverage, to a retirement package that includes both a 401(k) and an active pension plan, to highly competitive education reimbursement provisions, paid time off and a mental health benefit, we offer a holistic benefits package for our team and their dependents.