About the Role
You will serve as the second-in-command of the Market Regulation Department for the designated contract market, working closely with the Chief Regulatory Officer to ensure impartial and effective compliance with applicable regulations. You will shape the regulatory posture that protects customers and licenses by guiding policy, audits, and enforcement actions.
Requirements
- 7+ years of experience providing compliance and regulatory support for CFTC-registered designated contract markets (DCMs) or derivatives clearing organizations (DCOs)
- Demonstrated experience engaging directly with senior CFTC staff, including the Division of Market Oversight, Division of Clearing and Risk, and Market Participants Division
- Deep knowledge of CFTC Core Principles with proven ability to analyze and apply to ensure DCM maintains compliance with applicable regulations
- Strong grasp of market fundamentals, trading practices, investigative and surveillance techniques, sufficient to evaluate complex potential violations
- Proven ability to synthesize regulatory observations into clear written memoranda, reports, and information requests for stakeholders at all levels, including regulators
- Track record of managing multiple concurrent regulatory workstreams across cross-functional stakeholders while maintaining quality and meeting deadlines
- Utilizes generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality
Responsibilities
- Own the day-to-day leadership of CDE's Market Regulation Department as second-in-command, providing continuity and decision-making in the Chief Regulatory Officer's absence
- Drive CDE's compliance posture across all applicable CFTC regulatory requirements, identifying gaps and implementing corrective actions
- Lead the management of internal and external examinations and audits, coordinating responses and ensuring timely resolution of findings
- Partner with CDE trade surveillance personnel to review escalated cases, assess potential rulebook violations, and determine appropriate enforcement actions
- Strengthen cross-functional alignment by advising CDE personnel and partner teams on DCM Core Principles, CFTC regulations, and CDE's rulebook and policies
Benefits
- equity and bonus eligibility
- health insurance including medical dental and vision
- 401(k) retirement plan