Key contributor in Integrated Resource Planning at Duke Energy. Prepare executives for regulatory testimonies on future energy demands and regulatory compliance.
About the role
- Head of Compliance leading compliance for My Funded Futures' proprietary trading platform and Introducing Broker operations. Collaborating with executive management to embed compliance and support growth.
Responsibilities
- 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
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Location requirements
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