Vice President, Legal and Compliance - CFTC Compliance
Core
Establishing and maintaining CFTC compliance programs for a Swap Dealer and Commodity Pool Operator/Commodity Trade Advisor within a digital assets firm.
Role type
Vice President, Legal and Compliance (CFTC)
Builds
Regulatory compliance frameworks for swap dealer and CPO/CTA activities
Domain
Digital assets, OTC derivatives, Swap Dealer, CPO/CTA
Deliverable
client delivery
Required skills
CFTC regulatory expertise, Swap Dealer compliance program implementation, CPO/CTA regulatory knowledge, policy and procedure development, regulatory surveillance, stakeholder management with regulators (NFA), conflict of interest management
Preferred skills
Digital asset regulatory knowledge, AI tool adoption for compliance
Technologies
Generative AI, automation platforms, data copilots
Responsibilities
Manage CFTC compliance programs for swap dealer and CPO/CTA; Provide advisory coverage to sales and trading activities; Evaluate new products and business initiatives for compliance; Create and maintain policies and procedures; Perform e-communication surveillance and compliance testing; Manage relationships with regulators (e.g., NFA); Prepare CFTC annual reports and necessary filings; Develop supervisory procedures to manage conflicts of interest; Collaborate with Legal, Finance, Risk, Operations, and IT teams
Seniority
Senior, hands-on IC
