Chief Compliance and Regulatory Officer

Chicagoexecutive

OtherCompliance And Regulatory Officer

1 views0 saves0 applied

Apply Now

Quick Summary

Overview

The Chief Compliance and Regulatory Officer (CCRO) will serve as the statutory CCO for both the exchange and clearinghouse at Crypto.com | Derivatives North America (“CDNA”),

Technical Tools

OtherCompliance And Regulatory Officer

The Chief Compliance and Regulatory Officer (CCRO) will serve as the statutory CCO for both the exchange and clearinghouse at Crypto.com | Derivatives North America (“CDNA”), which is a CFTC dual-registered DCM/DCO. You will be responsible for ensuring the firm’s adherence to the Commodity Exchange Act (CEA), CFTC Core Principles, and all applicable laws. You will act as a primary liaison with the Commodity Futures Trading Commission (CFTC), serving as the guardian of market integrity and ensuring a culture of compliance within the firm.

Serve as the primary point of contact for the CFTC and other regulatory bodies. Manage all regulatory inquiries, exams, and Rule Enforcement Reviews (RERs).

Oversee the drafting and submission of all rule filings (self-certifications and approval requests) under Part 40 of CFTC regulations, ensuring new products and rules meet statutory standards.

Advise Executive Leadership and the Board on the regulatory implications of new business lines, products, and technologies.

Oversee a robust trade practice surveillance program to detect and prevent manipulation, wash trading, spoofing, and other disruptive trading practices.

Lead the market regulation function, conducting investigations into rule violations, and managing the disciplinary process.

Work closely with the Chief Risk Officer to ensure the risk management framework complies with Core Principles (fully funded and margin methodologies, financial resources, default management).

Oversee the due diligence and onboarding process for Clearing Members including Market Makers and Futures Commission Merchants (FCMs).

Prepare materials for and report quarterly to the ROC. Ensure the committee has sufficient information to fulfill its oversight duties.

Draft and certify the Annual Compliance Reports for both the DCM and DCO as required by the CEA, detailing the firm’s compliance with Core Principles.

Develop, maintain and enforce the firm’s Compliance Manual and Code of Ethics.

Identify and manage potential conflicts of interest between commercial interests of the firm and its self-regulatory obligations

Minimum 10+ years of experience in compliance, legal or regulatory roles within the US derivatives industry (Exchange, Clearinghouse, FCM, or Regulator)

Demonstrated leadership experience managing high-performing compliance teams and interaction with C-suite executives and Board Directors.

Expert-level knowledge of the Commodity Exchange Act, especially Parts 38, 39 and 40.

Bachelor’s Degree Required

J.D. or Master’s Degree in Finance/Business strongly preferred.

Ability to make difficult, time-sensitive decisions.

Familiarity with modern surveillance software (e.g., SMARTS, Scila, Eventus) and an understanding of electronic trading protocols (FIX API).

Exceptional written and verbal communication skills, with the ability to translate complex regulatory jargon for business stakeholders.

Unimpeachable Ethics and the fortitude to stand firm on regulatory obligations event when they conflict with short-term commercial goals.

Comfortable working at the frontier of finance where products and services may require the development of new best practices drawing upon experience, market norms and standards, to enable innovation within the context of regulatory obligations.