Compliance Officer

LMAX Group

US Compliance Officer driving regulatory presence and compliance strategy in financial services. Leading licensing, policy development, and regulatory operations for US compliance initiatives.

Posted 6/2/2026full-timeNew York City • New York • 🇺🇸 United StatesMid-LevelSenior💰 $150,000 - $250,000 per yearWebsite

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

5 –12+ years of experience in financial services compliance, preferably within:
Trading venues (SEF, MTF, exchanges)
FX, derivatives, or digital assets
Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
Experience in licensing processes (SEF, BitLicense, ATS, or similar) highly desirable
Strong understanding of:
CFTC regulatory framework (especially SEFs and swaps)
US market structure for derivatives and/or digital assets
Trade reporting, market surveillance, and compliance controls
Familiarity with cross-border regulatory frameworks (UK FCA, MAS) is a plus
Highly hands-on and execution-oriented
Comfortable working in a lean, entrepreneurial environment
Ability to move between strategy and detailed implementation
Strong drafting skills (policies, procedures, regulatory submissions)
Proactive, pragmatic, and solutions-oriented
Strong communicator with ability to engage regulators and internal stakeholders
Comfortable building from scratch in a developing regulatory environment

Benefits

Comp & perks

25 days of holiday (PTO)
Bonus
Pension: 401K
Private medical, dental, and vision coverage
Life insurance
TriNet Platform
Wellness contribution program with access to ClassPass
Plumm Platform
Five volunteering days

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

CFTC regulatory frameworklicensing processescompliance policiesregulatory reporting processestrade reportingmarket surveillancecompliance controlscross-border regulatory frameworksdigital assetsderivatives

Soft Skills

strong drafting skillsproactivepragmaticsolutions-orientedstrong communicatorexecution-orientedability to engage regulatorsability to move between strategy and detailed implementationcomfortable in a lean environmentability to build from scratch