Compliance Analyst

Skills

About the Role

You will support the day-to-day operationalization of compliance programs and ensure adherence to CFTC Core Principles and applicable FCA standards. You will monitor regulatory developments, prepare and submit regulatory filings and notices, respond to examinations and information requests, and draft investigation reports. You will maintain and update DCM rulebooks and DCO procedures, support default management, stress testing and margin methodology workstreams, ensure system safeguard compliance, and perform compliance reviews for new products and initiatives.

Requirements

• 3+ years of experience in regulatory compliance, ideally within a DCM, DCO, SEF, or FCM environment
• Familiarity with CFTC Regulations (Parts 37, 38, and 39) and NFA rules
• Ability to interpret complex regulations and translate them into actionable internal procedures
• Excellent written communication skills for drafting rulebooks and investigation reports
• Comfort working in the digital asset industry and ability to learn benchmark administration and Financial Promotions rules quickly
• Knowledge of UK BMR and FCA regulations (preferred)
• Experience with digital assets or blockchain technology (preferred)
• Experience with compliance monitoring systems such as transaction monitoring and e-comm surveillance (preferred)
• Familiarity with AML, BSA, OFAC, FINRA, and SEC regulatory frameworks (preferred)

Responsibilities

• Develop, maintain, and operationalize compliance programs for the DCM and DCO
• Monitor global regulatory developments and assess operational impact
• Prepare and submit regulatory filings, rule amendments, and notices to the CFTC
• Respond to regulatory examinations, formal inquiries, and information requests
• Maintain and update DCM rulebooks, trading rules, and market integrity policies
• Coordinate compliance matters related to the Designated SRO agreement
• Review position limit hedge exception requests as required
• Attend meetings to review market regulation updates and surveillance findings
• Monitor DCO compliance with Part 39 requirements including financial resources, risk management, and customer protection
• Support development and testing of default management procedures, stress testing frameworks, and margin methodologies
• Ensure cross-departmental compliance with System Safeguard requirements
• Prepare detailed investigation reports for potential rule violations or reporting breaches
• Maintain UK BMR license and manage FCA notifications for benchmark oversight
• Draft, review, and update internal compliance policies, procedures, and controls
• Facilitate compliance review for new products and business initiatives

Benefits

• discretionary annual target bonus
• performance incentives