ETRA Talent · 1 week ago
Head of Compliance (U.S)
New York, United States
Full-time
Hybrid
Director/Executive
$175K/yr - $185K/yr
8+ years expETRA Talent is a leading global financial services and execution firm operating across major financial hubs. They are seeking a U.S. Chief Compliance Officer to develop, implement, and oversee the firm's compliance framework, ensuring adherence to regulatory requirements and fostering a culture of regulatory discipline.
Staffing & Recruiting
Hiring Manager
Sultan Afzal سلطان أفضل
Responsibilities
Lead, design, and oversee the U.S. compliance program and framework
Ensure compliance with CFTC, NFA, and U.S. exchange regulations governing derivatives and futures trading
Manage licensing and registration obligations including NFA filings, renewals, and disclosures
Develop and enforce policies covering AML/KYC, trade surveillance, client onboarding, and disclosure obligations
Act as primary liaison with U.S. regulators, exchanges, auditors, and legal counsel
Track regulatory developments and implement timely policy and framework enhancements
Conduct internal audits, compliance testing, monitoring, and risk assessments
Partner with global compliance and control functions to ensure alignment and scalability
Lead compliance training and embed a strong culture of regulatory integrity
Oversee regulatory reporting, management information, and compliance dashboards
Manage third-party vendor oversight related to compliance tools and controls
Qualification
Required
Extensive experience in U.S. regulatory frameworks including CFTC, NFA, and ideally FINRA
8–10+ years in compliance, regulatory, or legal roles within futures, derivatives, trading, or broker-dealer environments
Strong experience in futures and listed derivatives compliance
Prior exposure to Introducing Broker, FCM, or broker-dealer operations highly advantageous
Bachelor's degree in Finance, Law, Economics, Business, or related discipline
Strong understanding of AML/KYC frameworks, surveillance, and regulatory reporting
Experience with leading compliance technology platforms
Familiarity with trading infrastructure, including electronic execution environments
Preferred
Relevant licenses highly desirable (or ability to obtain), such as: Series 3, Series 30, Series 24
Additional certifications (e.g., CAMS, CRCM, FRM) beneficial
Company
ETRA Talent
ETRA Talent is a specialist contingent and executive search business that specialises in the mid-to-senior level of the Banking, Financial Services, Investment Management, Insurance and Non-Financial Services markets in UK, Europe, and the Middle East.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase