Our client is seeking a Chief Compliance Officer (CCO) who will be responsible for overseeing the firms compliance program. The CCO will monitor trading and clearing activity on the SEF and DCO to ensure compliance with the firms Rules and applicable CFTC laws and regulations. The CCO's day-to-day responsibilities include surveillance of the markets, overseeing reporting obligations, and ensuring compliance with AML / KYC policies. The CCO is also responsible for writing the annual compliance report and for refining the policies and procedures as appropriate.
The CCO will be the primary point of contact for regulators, responding to regulatory inquiries and engaging with regulators on business developments. The CCO should have experience in legal and / or compliance and familiarity with SEF and DCO laws and regulations. Additionally, the CCO should have an interest in digital currencies and a desire to work in an engineering-first organization.
For more information, please contact Benjamin Ellison on 646 766 1212.