Regulatory Compliance Director
Skills
BusinessCommodity MarketsDerivativesFinanceOperationsRegulatory ExaminationsRegulatory Filings
What the job involves
The main requirements, responsibilities and hiring steps.
Requirements
- Bachelor's degree in Finance Economics Business Law or related field
- 10+ years of progressive experience in regulatory compliance market regulation or oversight
- Deep knowledge of derivatives or financial market regulations and CFTC experience
- Strong understanding of the full trade lifecycle including order management execution clearing settlement and reconciliation
- Experience leading complex investigations regulatory examinations inquiries or reporting requirements
- Familiarity with market surveillance case management and compliance monitoring tools
- Exceptional analytical organizational and problem-solving skills with strong attention to detail
- Strong communication and relationship-building skills across multiple teams and leadership levels
Nice to have
- Analytical
- Organized
- Detail-oriented
- Collaborative
- Adaptable
- Relationship-builder
Day to day
- Lead the preparation review and submission of regulatory filings notices and rule amendments to the CFTC and other regulators
- Oversee investigations into potential rule breaches market conduct issues and regulatory compliance concerns with timely escalation and resolution
- Partner with senior leaders and cross functional teams to shape compliance strategies manage reporting obligations and support compliant product development