Director - Futures Commission Merchant (FCM)
Core
Lead the regulatory compliance function for a registered Futures Commission Merchant (FCM) specializing in prediction markets and event contracts, ensuring adherence to CFTC and NFA regulations.
Role type
Director, Compliance (FCM)
Builds
Scalable, automated compliance and surveillance controls for event contract markets
Domain
Financial Services / Derivatives / Prediction Markets
Deliverable
client delivery
Required skills
Regulatory governance, Mandatory reporting, Market surveillance, Financial crimes compliance, AML/KYC/CIP, Customer protection frameworks, Technical integration, Risk management, Executive advisory
Preferred skills
FCM Chief Compliance Officer registration/qualification
Technologies
N/A
Responsibilities
Design and maintain compliance programs under CEA, CFTC, and NFA rules; Author and submit mandatory Annual Reports to CFTC; Serve as primary liaison for regulatory examinations and inquiries; Establish market surveillance programs to detect manipulation and abusive trading; Oversee AML, KYC, and CIP policies and transaction monitoring; Collaborate with Product and Engineering to embed automated compliance controls; Review marketing materials and disclosures for regulatory compliance.
Seniority
Director, strategic leadership with hands-on execution
