Compliance

• Develop, Implement, and enforce a comprehensive and effective compliance program designed to meet all federal and state regulatory requirements applicable to CFTC-registered Designated Contract Markets, including the Commodity Exchange Act, Bank Secrecy Act, and emerging regulations applicable to digital assets.
• Coordinate the timely preparation and submission of required regulatory filings; prepare Annual CCO Report.
• Conduct and document compliance and operational risk assessments; identify potential areas of vulnerability and implement corrective action plans.
• Create, update, and enforce the firm's compliance policies and procedures, ensuring they are well-documented and reflect best practices.
• Investigate and document compliance-related inquiries and issues, escalating to CRO when necessary.
• Develop and maintain a system for tracking and reporting compliance-related requirements; ensure the timely preparation and completion of requisite regulatory filings and reports, risk assessments, and updates to policies and procedures.
• Train and supervise Market Surveillance employees conducting real time and T+1 market surveillance.
• Develop and deliver compliance training for all personnel.

Chief Compliance Officer, Derivatives Exchange

Director, Privacy Compliance

Regulatory Compliance Officer – Clinical Trials

Manager, Regulatory Operations

Regulatory Intelligence Intern

Regional Compliance Officer