Compliance Manager – Examinations & Regulatory Governance
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Job Description
Compliance Manager at Sporttrade overseeing participant compliance and regulatory governance. Ensuring adherence to regulations and maintaining compliance frameworks for market participants.
Responsibilities:
- 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.
Requirements:
- Proven experience in exchange compliance, FCM oversight, regulatory examinations, or similar roles within derivatives markets.
- Strong working knowledge of the CFTC regulatory framework, Core Principles, and FCM supervisory requirements.
- Direct experience with regulatory reporting, rulebook governance, and the development of complex compliance policies.
- Ability to apply a risk-based approach to oversight with strong judgment and independence in assessing regulatory matters.
- Strong analytical, organizational, and documentation skills.
- Exceptional communication skills with the ability to engage effectively with internal stakeholders and regulators.
- Experience in sports trading or prediction markets (Nice to Have)
Benefits:
- Medical, Dental, and Vision Benefits: Company pays 100% Employee premium and 50% Spouse & Dependent premiums
- Short- & Long-Term Disability; Group Term Life and AD&D; Voluntary Life and AD&D
- 401(k) Plan
- Flexible time off
- MacBooks issued to all employees
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