Sporttrade

Compliance

• Conduct risk-based reviews and examinations of market participants, including Futures Commission Merchants (FCMs) and other intermediaries.
• Assess participant compliance with applicable regulatory requirements, including supervisory and risk management frameworks (e.g., CFTC Regulation 1.11 and National Futures Association Rule 2-9).
• Evaluate internal controls, governance structures, and escalation procedures of participants.
• Identify compliance deficiencies and recommend corrective actions.
• Maintain documentation of examination findings and follow-up activities.
• Oversee compliance standards and requirements for onboarding new participants.
• Ensure appropriate documentation, certifications, and representations are obtained and maintained.
• Monitor ongoing participant obligations and periodic attestations.
• Coordinate with internal stakeholders to ensure consistent application of eligibility and compliance standards.
• Manage updates to the Exchange rulebook, compliance manual, and related policies and procedures.
• Coordinate internal and external review of rule changes, including regulatory submissions where applicable.
• Administer participant certifications and acknowledgments related to rulebook adherence.
• Ensure policies and procedures are reviewed and updated on at least an annual basis.
• Oversee the Exchange’s audit trail review program to ensure completeness, accuracy, and retrievability of required records.
• Conduct periodic and annual reviews of audit trail data and associated controls.
• Coordinate with surveillance and technology teams to address data integrity issues.
• Ensure compliance with applicable recordkeeping requirements.
• Coordinate preparation of regulatory reports and filings to the CFTC and other applicable regulators.
• Support development of materials for the Board of Directors and Regulatory Oversight Committee (ROC).
• Maintain documentation supporting compliance with applicable Core Principles.
• Assist in preparation of the CRO Annual Compliance Report.
• Maintain and enhance the Exchange’s overall compliance framework.
• Ensure alignment between written policies and actual practices.
• Track regulatory developments and assess impact on Exchange rules and procedures.
• Support internal training and awareness related to compliance obligations.

Compliance Manager – Examinations & Regulatory Governance