Payments & Fraud Regulations Analyst coordinating between Payments, Fraud Operations, and Regulatory Compliance. Focus on monitoring payment activity, analyzing escalations, and internal reporting.
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
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
Senior Compliance Officer monitoring and analyzing adherence to federal and state compliance regulations. Leading efforts to ensure compliance with Collections laws within Navy Federal Credit Union operations.
Compliance Analyst at The Bancorp overseeing compliance with regulatory laws and providing advisory services to business lines and functions. Conducting reviews and assessments according to compliance management standards.
Seek a Jurist / Volljurist for Datenschutz and Compliance at DLG e.V. providing legal support and consultancy with a focus on data protection and corporate law.
Compliance Analyst at Broadridge supporting risk and control for Investor Communication Solutions. Managing audits, investigations, and internal controls in a hybrid work setting.
Electrical Regulatory Manager leading regulatory strategy for new electrical projects at P&G. Collaborating with international teams to ensure compliance and influence regulatory landscapes.
Alcohol Compliance Supervisor at Jiffy Lube Live ensuring responsible service of alcohol. Supervise event employees, uphold compliance with alcohol service guidelines and interact with guests for satisfaction.
GRC Risk Analyst at Tanium conducting compliance assessments and developing risk management policies. Collaborating with stakeholders to ensure adherence to regulatory requirements and industry standards.
Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
Senior Product Environmental Compliance Specialist leading compliance initiatives in Stryker's Endoscopy division. Driving regulatory strategy and cross‑functional alignment in a hybrid role.