Deputy Chief Regulatory Officer
Core
Second-in-command of the Market Regulation Department for a CFTC-registered designated contract market, ensuring compliance and regulatory posture for a futures exchange.
Role type
Senior regulatory compliance leader (CFTC DCM)
Builds
Compliance programs and regulatory adherence for a futures exchange
Domain
Financial services / Commodities / Futures trading
Deliverable
client delivery
Required skills
CFTC Parts 38, 39, 40 expertise, DCM/DCO regulatory experience, internal/external audit management, trade surveillance analysis, regulatory memoranda writing, cross-functional stakeholder management, generative AI workflow integration
Preferred skills
None stated
Technologies
Generative AI
Responsibilities
Lead day-to-day operations of the Market Regulation Department, drive compliance posture across CFTC requirements, manage internal and external examinations and audits, partner with trade surveillance on escalated cases, advise personnel on DCM Core Principles and regulations
Seniority
Senior, hands-on IC
