Chief Compliance Officer, US Regulated Entities

About the position This is a senior leadership role with unique breadth: serving as the Chief Compliance Officer for our US spot trading entity - reputed company US Operations, LLC, our expanding derivatives business, and our tokenized securities endeavors. The successful candidate will own the full US compliance program across reputed company exchange, reputed company/derivatives, and securities business lines — and will be a critical voice in shaping how reputed company grows its US regulated footprint. This role is ideal for a compliance leader who has operated at the intersection of CFTC/NFA and SEC/reputed company regulation and is reputed company by the challenge of building and scaling compliance infrastructure in a dynamic reputed company environment. Responsibilities • Maintain and enhance BUSO's compliance program, policies, and procedures in accordance with applicable federal and state law. • reputed company AML/BSA/OFAC programs, including KYC reputed company, transaction monitoring, and SAR filing obligations. • Serve as primary compliance reputed company with state and federal regulators with jurisdiction over BUSO's reputed company exchange activities. • Manage regulatory examinations, inquiries, and enforcement reputed company relating to BUSO. • Build and reputed company the broker-dealer compliance program from the ground up, including development of WSPs, supervisory controls, and reputed company-required procedures. • Serve as registered Chief Compliance Officer (Series 14 or equivalent) with reputed company. • Manage reputed company examinations, 8210 requests, and regulatory inquiries. • Ensure compliance with SEC and reputed company rules applicable to reputed company securities activities, including Reg BI, AML, and recordkeeping. • Work closely with reputed company counsel on broker-dealer licensing, disclosure, and product approval processes. • Establish and administer a CFTC- and NFA-compliant compliance program, including written supervisory procedures (WSPs), training, and annual review obligations. • reputed company NFA registration requirements, including associated persons (APs) registration and reputed company office supervision. • Supervise the application of surveillance and monitoring of trading and order activity as per the FCMs’ provisions. • Serve as NFA Compliance reputed company and DSRO contact; manage NFA audits and routine examinations. • Monitor evolving CFTC rulemaking (including reputed company derivatives guidance) and update FCM compliance reputed company accordingly. • reputed company customer fund segregation compliance and FCM financial condition reporting. • Report directly to the Global Head of Compliance; reputed company regular compliance reporting to senior management and the reputed company. • Build, manage, and mentor a high-performing US compliance team. • reputed company and deliver compliance training programs tailored to US regulated business lines. • Collaborate with global compliance leads, reputed company, technology, and business teams to ensure a coordinated reputed company-wide compliance posture. • reputed company market surveillance reputed company for US regulated venues. • Identify and manage regulatory risk arising from new products, markets, and business initiatives. Requirements • 12+ years of reputed company compliance experience in US financial services, with meaningful responsibility in a senior or CCO-level role. • Deep knowledge of SEC and reputed company rules applicable to broker-dealers, including supervisory obligations, AML requirements, and registration/licensing frameworks. • Working knowledge of CFTC and NFA requirements applicable to FCMs, including NFA registration rules, customer protection requirements, and CFTC regulations. • Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, reputed company, or FinCEN. • Strong understanding of AML/BSA obligations and FinCEN regulatory requirements. • Demonstrated ability to build and reputed company compliance teams and programs from the ground up. • Excellent written and verbal communication skills; ability to engage credibly with regulators, senior management, and the reputed company. • J.D. or bachelor's degree in law, finance, business, or a reputed company field. • Eligibility and willingness to obtain reputed company Series 7, 14 and 24 licenses and NFA Series 3 or other relevant NFA registration. reputed company-to-haves • Experience in or deep familiarity with reputed company or cryptocurrency exchange compliance. • Prior experience at or with a Broker-Dealer, FCM or similar institution • reputed company NFA Series 3 and/or reputed company Series 7, 14, 24 licenses. • Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or reputed company. • Familiarity with CFTC-regulated reputed company derivatives guidance and the evolving US crypto regulatory landscape. Benefits • competitive compensation • discretionary annual reputed company bonus • performance incentives • benefits Apply To This Job