Chief Compliance Officer; U.S

Chief Compliance Officer — United States

Location: New York

$/yr - $/yr

A leading global financial services and execution firm operating across major financial hubs in the U.S., Europe, Middle East, and Asia. The business provides high-quality execution services across listed and OTC markets and is recognized for its strong market presence, international footprint, and institutional client base.

The U.S. Chief Compliance Officer is a senior leadership position responsible for developing, implementing, and overseeing the firm’s U.S. compliance framework. This role ensures adherence to applicable regulatory requirements, particularly those governed by the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), relevant U.S. exchanges, and FINRA where applicable.

Partnering closely with senior leadership and global compliance teams, the CCO will drive a robust culture of regulatory discipline, operational excellence, and proactive risk management across U.S. operations.

• U.S. Treasuries

• Lead, design, and oversee the U.S. compliance program and framework
• Ensure compliance with CFTC, NFA, and U.S. exchange regulations governing derivatives and futures trading
• Manage licensing and registration obligations including NFA filings, renewals, and disclosures
• Develop and enforce policies covering AML/KYC, trade surveillance, client onboarding, and disclosure obligations
• Act as primary liaison with U.S. regulators, exchanges, auditors, and legal counsel
• Track regulatory developments and implement timely policy and framework enhancements
• Conduct internal audits, compliance testing, monitoring, and risk assessments
• Partner with global compliance and control functions to ensure alignment and scalability
• Lead compliance training and embed a strong culture of regulatory integrity
• Oversee regulatory reporting, management information, and compliance dashboards
• Manage third-party vendor oversight related to compliance tools and controls

• Extensive experience in U.S. regulatory frameworks including CFTC, NFA, and ideally FINRA
• 8–10+ years in compliance, regulatory, or legal roles within futures, derivatives, trading, or broker‑dealer environments
• Strong experience in futures and listed derivatives compliance
• Prior exposure to Introducing Broker, FCM, or broker‑dealer operations highly advantageous

• Bachelor’s degree in Finance, Law, Economics, Business, or related discipline
• Relevant licenses highly desirable (or ability to obtain), such as:
• Series 3
• Series 30
• Series 24
• Additional certifications (e.g., CAMS, CRCM, FRM) beneficial

• Strong understanding of AML/KYC frameworks, surveillance, and regulatory reporting
• Experience with leading compliance technology platforms
• Familiarity with trading infrastructure, including electronic execution environments

• Director

• Full‑time

• Legal

• Financial Services and Capital Markets