MyFundedFutures

Head of Compliance

MyFundedFutures

full-time

Posted on:

Location Type: Hybrid

Location: 🇺🇸 United States

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Job Level

Lead

Tech Stack

Cyber Security

About the role

  • Lead the design and ongoing management of MFFU’s enterprise compliance program, including policies, monitoring, and reporting systems.
  • Build and oversee a team responsible for operational compliance, AML/KYC, licensing, and risk governance.
  • Ensure compliance with CFTC, NFA, and CME Group regulations and applicable futures and derivatives laws.
  • Ensure compliance with know-your-customer (KYC), account supervision, risk disclosure, and segregation requirements applicable to IBs.
  • Serve as the firm’s primary liaison with regulators, external auditors, and legal advisors.
  • Manage the firm’s registration and licensing obligations as an Introducing Broker, including NFA filings, annual renewals, and disclosures.
  • Develop IB operational controls in coordination with partnered FCMs, including account reconciliation, customer complaint handling, and dispute resolution processes.
  • Oversee partner relationships with FCMs, vendors, and service providers to ensure contractual and regulatory compliance.
  • Maintain required reporting and recordkeeping frameworks, ensuring readiness for regulatory examinations.
  • Develop, implement, and maintain policies related to trade surveillance, data protection, risk management, and conflicts of interest.
  • Establish robust AML/KYC procedures aligned with futures and brokerage operations.
  • Collaborate with product and technology teams to embed “compliance by design” into platforms and workflows.
  • Lead regular compliance training across all departments and promote a culture of integrity, accountability, and transparency.
  • Oversee cybersecurity compliance in accordance with NFA/CFTC guidance and future SEC/CISA expectations as platform matures.
  • Develop and maintain a compliance risk register for new products or platform features, including emerging risks like digital assets, API access, and automated trading.
  • Review and interpret regulatory changes, ensuring timely communication and adaptation within the firm.
  • Conduct internal audits and testing to identify, assess, and remediate compliance risks.

Requirements

  • Bachelor’s degree in Finance, Economics, Law, or related field required; advanced degree (JD, MBA, or LLM) preferred.
  • 10+ years of experience in compliance, risk, or regulatory roles within a futures, brokerage, or fintech organization.
  • Deep knowledge of CFTC, NFA, and CME Group rules, futures industry regulations, and Introducing Broker operations.
  • Proven success in building or scaling compliance frameworks within a regulated or transitioning financial entity.
  • Strong understanding of AML/KYC requirements, trade surveillance systems, and data governance.
  • Experience collaborating with regulators, auditors, and executive teams in complex, fast-paced environments.
  • Series 3 and/or Series 30 licenses (or ability to obtain within 120 days).
Benefits
  • Comprehensive benefits and performance-based incentives

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
compliance program managementAML/KYCrisk governancetrade surveillancedata protectionrisk managementinternal auditsregulatory complianceaccount reconciliationdispute resolution
Soft skills
leadershipcollaborationcommunicationintegrityaccountabilitytransparencyteam buildingtrainingproblem-solvingadaptability
Certifications
Bachelor's degreeJDMBALLMSeries 3 licenseSeries 30 license