MyFundedFutures · 10 hours ago
Head of Compliance
United States
Full-time
Remote
Director/Executive
10+ years expMy Funded Futures is transforming the world of proprietary trading by providing traders with the capital, tools, and community they need to succeed. The Head of Compliance will ensure that the company's initiatives meet all legal and regulatory requirements while designing and managing a comprehensive compliance management system.
Financial Services
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
Serve as the compliance stakeholder in the development of MFFU’s proprietary trading platform, ensuring integration of:
Trade surveillance systems
Customer data protection and retention protocols
Regulatory reporting (e.g., NFA/CFTC)
Risk management controls, including pre-trade risk checks and margin controls
Partner with engineering, UX, and product teams to implement compliance-by-design architecture and user flows for onboarding, trading, and account management
Develop compliance protocols for algorithmic and automated trading strategies, including flagging suspicious or manipulative trading behavior
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
Report key compliance risks and trends to the COO, CEO, and Board of Directors
Oversee investigation and remediation of compliance issues, ensuring documentation and corrective action
Qualification
Required
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)
Preferred
Prior experience registering or operating an Introducing Broker, CTA, or FCM entity
Exposure to algorithmic trading or electronic market infrastructure
CAMS, CRCM, or FRM certification is a plus
Direct involvement in building or managing compliance for a proprietary trading or brokerage platform
Understanding of market data feeds, exchange integration, and pre/post-trade analytics
Familiarity with trading technology stacks such as FIX, WebSocket, or REST APIs
Experience with compliance tools such as Actimize, NICE, Refinitiv, or similar surveillance systems
Benefits
Comprehensive benefits
Performance-based incentives
Company
MyFundedFutures
MyFundedFutures is the premier futures prop trading firm for beginner and experienced traders alike.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase