Regulatory Compliance Director, Predictions

What you’ll do as a Regulatory Compliance Director

•

Lead the preparation, review, and submission of regulatory filings, rule amendments, notices, and other communications to the Commodity Futures Trading Commission and other regulatory bodies.

•

Oversee investigations into potential violations of internal rules, market conduct standards, and regulatory requirements, ensuring timely escalation and resolution of identified issues.

•

Partner with senior leaders to develop and execute regulatory compliance strategies that support business objectives while maintaining market integrity and regulatory adherence.

•

Manage regulatory reporting obligations and help ensure compliance programs, policies, and procedures remain effective and aligned with evolving regulatory expectations.

•

Collaborate with Product, Operations, Legal, Risk, and other cross-functional teams to identify compliance risks and implement practical, scalable solutions.

•

Build and maintain strong relationships with regulators and external stakeholders, serving as a trusted representative of the organization on regulatory matters.

•

Provide leadership and guidance across the Regulatory Compliance function, including acting as the senior compliance lead when necessary.

•

Support the development of future products and initiatives by evaluating regulatory considerations and helping establish compliant operating frameworks.

What you’ll bring

•

A Bachelor’s Degree in Finance, Economics, Business, Law, or a related field.

•

At least 10 years of progressive experience in regulatory compliance, market regulation, or regulatory oversight within a Designated Contract Market, Derivatives Clearing Organization, futures commission merchant, broker-dealer, exchange, or regulatory agency.

•

Deep knowledge of derivatives or financial market regulations, including experience working with the Commodity Futures Trading Commission or similar regulatory bodies.

•

Strong understanding of the full trade lifecycle, including order management, execution, clearing, settlement, and reconciliation processes.

•

Experience leading complex regulatory investigations and managing regulatory examinations, inquiries, or reporting requirements.

•

Familiarity with market surveillance platforms, case management systems, and compliance monitoring tools.

•

Exceptional analytical, organizational, and problem-solving skills with strong attention to detail and the ability to manage sensitive information responsibly.

•

Strong communication and relationship-building skills, with experience influencing stakeholders and collaborating effectively across multiple teams and levels of leadership.

#LI-SW1