Interim Chief Regulatory & Chief Compliance Officer (CCO)

Interim Chief Regulatory & Chief Compliance Officer (CCO)

About the Company

A new CFTC-regulated exchange offering a novel type of security futures.

Industry
Capital Markets

Type
Privately Held

About the Role

The Company is in need of an Interim Chief Regulatory and Chief Compliance Officer with a strong background in FinTech. The successful candidate will be responsible for leading and running the applications for DCM and DCO with the CFTC, overseeing compliance with CEA, SEC, and CFTC regulations, and establishing and administering policies and procedures to ensure compliance. This role also involves leading and administering the Market Surveillance and Compliance Department. The ideal candidate should have at least 10-15 years' of experience in a similar role, with a focus on the regulatory and compliance integrity of the company's exchange and clearinghouse. Applicants for the Interim Chief Regulatory and Chief Compliance Officer position at the company should be senior derivatives/markets attorneys with deep CFTC, DCM, and DCO regulatory experience. A demonstrated background in exchange and clearinghouse compliance, market regulation, and Dodd-Frank derivatives rules is essential. The role requires a professional with recognized standing with the CFTC and industry advisory bodies, as well as the authority and judgment to operate independently and escalate directly to the Board. The position is remote and offers the potential for a temp to perm arrangement.

Travel Percent
Less than 10%

Functions

• Legal