Compliance Officer

About the role

The Compliance Officer will support the firm’s compliance program, ensuring adherence to CFTC regulations, NFA rules, and internal policies governing retail forex operations. Reporting directly to the Chief Compliance Officer, this role is essential for maintaining the firm’s regulatory standing.

Key responsibilities

• Monitor ongoing compliance with CFTC Regulations and NFA Compliance Rules.
• Advise business partners on existing and new products for regulatory compliance.
• Maintain firm registration and track AP licensing requirements.
• Assist the CCO with NFA and CFTC inquiries, audits, examinations, and documentation requests.
• Review marketing materials and customer communications for NFA Marketing Compliance.
• Deliver compliance training, including emerging regulations and internal protocols.
• Supervise customer due‑diligence processes to meet AML and KYC requirements.
• Monitor suspicious activity and coordinate SAR filings with the AML Officer/CCO.
• Oversee customer complaint handling.

Required profile

• Bachelor’s degree in Finance, Business, Law, or a related field.
• 5+ years of compliance experience in retail forex, futures, or broader derivatives/securities.
• Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs, and Forex Dealer Members.
• Strong understanding of AML/BSA requirements for financial services.
• Excellent written and verbal communication for regulatory correspondence and policy drafting.
• Ability to collaborate cross‑functionally with trading, operations, IT, and legal teams.
• Prior experience at an NFA‑regulated FCM, RFED, or regulatory agency.

Required skills

What we offer

• Performance bonuses and stock purchase options.
• Medical, vision, and dental benefits.
• 401(k) plan.
• 20 paid vacation days plus a birthday‑month extra day.
• 10 paid sick days.
• Gym membership reimbursement and commuter benefits.
• Pet insurance, wellness & mental‑health programs.
• Charitable donation matching and two paid volunteer days.
• Daily catered lunch, full kitchen with snacks and beverages.