Compliance Officer – Trade Conduct

MyFundedFutures

Compliance Officer overseeing trading surveillance and market conduct for proprietary trading operations at fintech firm. Responsible for regulatory compliance and monitoring trading activity.

Posted 6/2/2026full-time🇺🇸 United StatesMid-LevelSeniorWebsite

ATS Keywords

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Hard Skills

trade surveillancecompliance monitoringinvestigation documentationalert triagealgorithmic trading compliancepre-trade controlspost-trade controlsmarket microstructuretrading mechanicsanti-manipulation rules

Soft Skills

collaborationcommunicationproblem-solvingattention to detailanalytical thinkingproactive guidanceescalationtraining deliverydocumentation skillsregulatory support

Tools & Technologies

surveillance systemsautomated surveillance toolingalert logicCAT reportingLarge Trader ReportingCFTC Form 40audit trail systemstrading logsorder ticket retentionvoice/electronic communication capture

Certifications & Qualifications

Series 3

Industry Keywords

CFTC Regulation 180.1CFTC Regulation 180.2NFA Compliance RulesDCM Core PrinciplesFCMprop trading firmIBDSROCME GroupICE

About the role

Key responsibilities & impact

Design, operate, and continuously enhance the firm's trade surveillance program, covering the full spectrum of manipulative and disruptive trading practices including spoofing, layering, wash trading, pre-arranged trading, and banging the close.
Monitor proprietary trading and IB-introduced order flow for compliance with CFTC Regulation 180.1 (anti-manipulation), 180.2 (price manipulation), and applicable DCM rules.
Conduct daily, weekly, and periodic reviews of trading alerts generated by surveillance systems; triage, investigate, and document findings with appropriate escalation.
Maintain comprehensive surveillance logs and investigation records sufficient to demonstrate a robust supervisory system to NFA examiners.
Liaise with FCM and other exchange surveillance departments in response to inquiries, trading halts, and audit trail requests.
Own compliance with audit trail, large trader reporting obligations and ongoing position monitoring.
Monitor and ensure compliance with position limits established FCM across all products traded by the prop desk and IB customers.
Oversee compliance with NFA requirements for trade record-keeping, including order ticket retention, time-stamping, and voice/electronic communication capture.
Review IB order routing and execution quality to assess adherence to best execution standards and identify potential conflicts of interest or front-running risk.
Monitor algorithmic and automated trading strategies deployed by the prop desk for compliance.
Assess pre-trade and post-trade controls, working with the Risk and Technology teams to ensure kill switch functionality and other required risk controls are operational.
Conduct thorough investigations of potential trading violations, preparing detailed investigation memoranda with factual findings and recommended disposition.
Escalate significant findings to the CCO and, where required, support regulatory self-reporting determinations.
Participate in NFA examinations and CFTC inquiries relating to trading conduct, preparing supporting documentation and presenting surveillance program capabilities.
Partner with teams to deliver proactive compliance guidance on new strategies, markets, and instruments prior to deployment.
Work closely with Business Conduct on shared regulatory matters, firm-wide training, and the annual compliance review.
Collaborate with Technology and Risk on the build-out and ongoing calibration of automated surveillance tooling and alert logic.

Requirements

What you’ll need

5+ years of compliance, market regulation, or surveillance experience within a regulated environment (FCM, prop trading firm, IB, DCM market regulation, or DSRO).
Strong technical understanding of futures and options on futures products, market microstructure, and trading mechanics across CME Group, ICE, and other major DCMs.
Working knowledge of anti-manipulation rules, NFA Compliance Rules applicable to trading activity, and DCM Core Principles.
Hands-on experience with trade surveillance systems and alert triage workflows.
Familiarity with CAT reporting, Large Trader Reporting (CFTC Parts 17/18), and CFTC Form 40 obligations.
Series 3 (National Commodity Futures Examination) — active registration required.
Demonstrated ability to conduct and document trading investigations in a regulatory context.

Benefits

Comp & perks

Competitive base salary commensurate with experience
Performance-based bonus tied to firm and individual outcomes
Comprehensive benefits including medical, dental, vision, and 401(k)
Exposure to a sophisticated proprietary trading environment with cutting-edge strategies
Close collaboration with experienced trading, risk, and technology professionals