Chief Compliance Officer

My client, an early-stage startup backed by an experienced team of crypto industry professionals, is seeking an exceptional Chief Compliance Officer to build the compliance program from the ground up and lead regulatory readiness and submission efforts for a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO).

Key Responsibilities

• Build the compliance program : establish the compliance framework, policies, procedures, governance, controls, and reporting structure.
• Regulatory applications and engagement : lead the preparation, coordination, and submission of DCM and DCO designation applications to the regulators (CFTC and SEC), including supporting documentation and regulatory exhibits, and serve as the primary compliance contact with the regulators and coordinate responses to regulatory questions and information requests.
• Rulebook development : develop and maintain exchange and clearinghouse rules, compliance procedures, and regulatory control frameworks.
• Core compliance functions : establish market surveillance, trade practice monitoring, investigations, disciplinary processes, and regulatory reporting
• Governance and oversight : Establish board reporting, conflicts-of-interest management, ethics, recordkeeping, and compliance testing, work closely with Legal, Risk, Technology, Operations, and senior management to embed compliance into the platform and operating model.
• Ongoing regulatory readiness : Build a sustainable program for examinations, audits, remediation, and continuing compliance obligations

Requirements

• Highly responsive, proactive, energetic, and accountable, with a strong sense of ownership and commitment to results.
• 10+ years in U.S. futures or derivatives compliance, legal or regulatory roles, including senior leadership, experience in blockchain and crypto space is a plus.
• Experience at a DCM, DCO orFCM, or at the SEC, CFTC, NFA or another self-regulatory organization, with deep knowledge of the Commodity Exchange Act and CFTC Parts 1, 38, 39 and 40.
• A track record of building or substantially rebuilding a compliance program.
• Hands-on experience with surveillance, investigations and CFTC examinations, comfort working hands-on with limited resources in a fast-moving environment.
• Independent judgment and clear communication with regulators and the Board. J.D. preferred.

Compensation

• A solid base salary plus meaningful equity, offering the opportunity to share in the company’s long-term growth and success.

Pay: $160,000.00 - $180,000.00 per year

Benefits:

• Stock options

Work Location: Remote