We are seeking a hands-on US Compliance Officer to drive and support the build-out of our US regulatory presence. This role is ideal for an experienced compliance professional who is comfortable operating at both strategic and execution levels.
You will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential:
- CFTC SEF (Swap Execution Facility) registration
- CFTC Digital Commodity Exchange framework (subject to legislative developments)
- NYDFS BitLicense application
This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.
The US Compliance Person is responsible for:
Regulatory Strategy & Licensing
- Lead and support US regulatory strategy across derivatives and digital assets
- Manage and contribute to licensing processes, including:
CFTC SEF registration
NYDFS Bit License application
Potential CFTC Digital Commodity Exchange authorisation
- Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others)
Policy & Framework Development
- Draft, implement, and maintain compliance policies and procedures including:
Market conduct and surveillance
AML/KYC and financial crime controls
Trade and transaction reporting
Governance and internal controls
- Ensure alignment with both US frameworks and existing UK/Singapore regulatory obligations
Execution & Operations
- Support day-to-day compliance operations across US-related activities
- Build and implement regulatory reporting processes (CFTC, NFA, state regulators)
- Establish and oversee monitoring, surveillance, and control frameworks
- Assist with onboarding processes and client due diligence
Cross-Border Coordination
- Work closely with compliance, legal, and operations teams in the UK and Singapore
- Ensure consistency in global compliance standards while adapting to US regulatory requirements
Regulatory Change & Advisory
- Monitor US regulatory developments (including digital asset legislation)
- Advise senior management on regulatory risks and strategic opportunities
- Translate regulatory developments into actionable internal changes
Salary Range: $150,000 - $250,000
Requirements
Experience
- 5 –12+ years of experience in financial services compliance, preferably within:
- Trading venues (SEF, MTF, exchanges)
- FX, derivatives, or digital assets
- Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
- Experience in licensing processes (SEF, BitLicense, ATS, or similar) highly desirable
Technical Knowledge
- Strong understanding of:
- CFTC regulatory framework (especially SEFs and swaps)
- US market structure for derivatives and/or digital assets
- rade reporting, market surveillance, and compliance controls
- Familiarity with cross-border regulatory frameworks (UK FCA, MAS) is a plus
Working Style
- Highly hands-on and execution-oriented
- Comfortable working in a lean, entrepreneurial environment
- Ability to move between strategy and detailed implementation
- Strong drafting skills (policies, procedures, regulatory submissions)
Personal Attributes
- Proactive, pragmatic, and solutions-oriented
- Strong communicator with ability to engage regulators and internal stakeholders
- Comfortable building from scratch in a developing regulatory environment
Benefits
- 25 days of holiday (PTO)
- Bonus
- Pension: 401K
- Private medical, dental, and vision coverage
- Life insurance
- TriNet Platform
- Wellness contribution program with access to ClassPass
- Plumm Platform
- Five volunteering days