Chief Compliance Officer (Fintech)

TL;DR

Chief Compliance Officer (Fintech): Leading the design and management of the derivatives compliance program for futures, event contracts, and options on futures with an accent on CFTC and NFA regulatory adherence. Focus on designing internal control frameworks, managing regulatory exams, and advising on the launch of new financial products.

Location: Onsite in Chicago, IL or New York, NY (5 days per week)

Salary: $199,000 – $300,000 (base pay varies by location)

Company

A financial services platform dedicated to democratizing finance for all.

What you will do

• Lead and maintain the RHD compliance program, focusing on policies and internal controls for CFTC and NFA.
• Advise business teams on regulatory requirements for futures, event contracts, and options.
• Oversee regulatory interactions, including exams, inquiries, and reporting.
• Review marketing and promotional materials for regulatory alignment.
• Support firm-wide initiatives, including system implementations and risk programs.

Requirements

• 8+ years of experience in financial services compliance.
• 5+ years of specialized experience in futures or derivatives.
• Active FINRA Series 3 license.
• Deep knowledge of CFTC and NFA regulations.
• Experience working directly with regulatory agencies.

Culture & Benefits

• Performance-driven compensation with bonus programs and equity ownership.
• 401(k) matching and 100% paid health insurance for employees.
• Flexible "lifestyle wallet" for wellness and learning.
• Employer-paid life, disability, fertility, and mental health benefits.
• Full-service office experience with catered meals and events.