LMAX Group

Compliance

• Drive and support the build-out of US regulatory presence
• Navigate US regulatory frameworks, design and implement compliance infrastructure
• Support licensing efforts including: CFTC SEF registration, CFTC Digital Commodity Exchange framework, NYDFS BitLicense application
• Manage and contribute to licensing processes
• Act as a key contact with US regulators (CFTC, NFA, NYDFS and others)
• Draft, implement, and maintain compliance policies
• Ensure alignment with both US frameworks and existing UK/Singapore regulatory obligations
• Support day-to-day compliance operations
• Build and implement regulatory reporting processes
• Establish and oversee monitoring frameworks
• Assist with onboarding processes and client due diligence
• Work closely with compliance, legal, and operations teams globally
• Monitor US regulatory developments and advise management on risks

Compliance Officer