Deputy Chief Compliance And Regulatory Officer

Job Title: Deputy Chief Compliance and Regulatory Officer

Location: Chicago, IL (60604) - Hybrid | On-site 3 days Tues - Thu

Employment type: Full-time

This opportunity is to join a world-changing company, at the forefront of the prediction market space. Must have direct experience working with (CFTC) regulations, specifically managing compliance for an exchange (DCM, SEF) or clearinghouse (DCO) If you have served as a primary or secondary point of contact leading responses to CFTC regulatory audits, examinations, or formal inquiries then please reach out for a confidential discussion.

Responsibilities:

• Assist the CCRO in the development, implementation and monitoring of the firm’s compliance program, including all aspects of regulatory compliance for the Exchange, ensuring ongoing adherence to CFTC Core Principles and the Commodity Exchange Act.
• Serve as the Exchange’s primary liaison to the CFTC, including managing audits, filing self-certifications, ensuring accurate reporting and responding to inquiries.
• Assist the CCRO in oversight of the ongoing development and adherence to policies, internal controls – ensuring best-in-class standards for risk, surveillance, KYC/AML, customer protection and information security.
• Drive automation and systems integration for compliance monitoring, regulatory reporting, trade surveillance, and clearinghouse risk monitoring.
• Support executive-level reporting on compliance posturing, regulatory updates, and material risks.
• Collaborate with legal, finance, and operations teams to ensure integrated compliance practices.
• Lead training initiatives to promote compliance awareness across the Exchange.

What you’ll bring:

• Experience in compliance leadership roles at a DCM, DCO, or regulatory agency (CFTC/NFA strongly preferred)
• Proven track record of direct oversight of core principles and market integrity programs
• Deep working knowledge of the Commodity Exchange Act (CEA), CFTC Core Principles, and Surveillance and Financial Integrity requirements.
• Hands-on experience with audits, AML/KYC program design, and surveillance frameworks.
• Confidence interfacing with regulators, external counsel, and executive leadership.
• A passion for innovative market structure and a desire to find solutions within a compliance and ethical framework.
• Bachelor’s degree required;
  JD or advanced regulatory certifications are a plus

Benefits

• Benefits packages include a 401(k) plan with employer match, health, vision, and dental insurance for employees and eligible dependents, paid time off, and much more.