Chief Compliance Officer, US Regulated Entities

Bullish•New York, NY

1d•Remote

About The Position

This is a senior leadership role with unique breadth: serving as the Chief Compliance Officer for our US spot trading entity - Bullish US Operations, LLC, our expanding derivatives business, and our tokenized securities endeavors. The successful candidate will own the full US compliance program across digital-asset exchange, futures/derivatives, and securities business lines — and will be a critical voice in shaping how Bullish grows its US regulated footprint. This role is ideal for a compliance leader who has operated at the intersection of CFTC/NFA and SEC/FINRA regulation and is energized by the challenge of building and scaling compliance infrastructure in a dynamic digital-asset environment.

Requirements

12+ years of progressive compliance experience in US financial services, with meaningful responsibility in a senior or CCO-level role.
Deep knowledge of SEC and FINRA rules applicable to broker-dealers, including supervisory obligations, AML requirements, and registration/licensing frameworks.
Working knowledge of CFTC and NFA requirements applicable to FCMs, including NFA registration rules, customer protection requirements, and CFTC regulations.
Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN.
Strong understanding of AML/BSA obligations and FinCEN regulatory requirements.
Demonstrated ability to build and lead compliance teams and programs from the ground up.
Excellent written and verbal communication skills; ability to engage credibly with regulators, senior management, and the Board.
J.D. or bachelor's degree in law, finance, business, or a related field.
Eligibility and willingness to obtain FINRA Series 7, 14 and 24 licenses and NFA Series 3 or other relevant NFA registration.

Nice To Haves

Experience in or deep familiarity with digital-asset or cryptocurrency exchange compliance.
Prior experience at or with a Broker-Dealer, FCM or similar institution
Active NFA Series 3 and/or FINRA Series 7, 14, 24 licenses.
Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or FINRA.
Familiarity with CFTC-regulated digital-asset derivatives guidance and the evolving US crypto regulatory landscape.

Responsibilities

Maintain and enhance BUSO's compliance program, policies, and procedures in accordance with applicable federal and state law.
Oversee AML/BSA/OFAC programs, including KYC onboarding, transaction monitoring, and SAR filing obligations.
Serve as primary compliance liaison with state and federal regulators with jurisdiction over BUSO's digital-asset exchange activities.
Manage regulatory examinations, inquiries, and enforcement matters relating to BUSO.
Build and lead the broker-dealer compliance program from the ground up, including development of WSPs, supervisory controls, and FINRA-required procedures.
Serve as registered Chief Compliance Officer (Series 14 or equivalent) with FINRA.
Manage FINRA examinations, 8210 requests, and regulatory inquiries.
Ensure compliance with SEC and FINRA rules applicable to digital-asset securities activities, including Reg BI, AML, and recordkeeping.
Work closely with legal counsel on broker-dealer licensing, disclosure, and product approval processes.
Establish and administer a CFTC- and NFA-compliant compliance program, including written supervisory procedures (WSPs), training, and annual review obligations.
Oversee NFA registration requirements, including associated persons (APs) registration and branch office supervision.
Supervise the application of surveillance and monitoring of trading and order activity as per the FCMs’ provisions.
Serve as NFA Compliance Liaison and DSRO contact; manage NFA audits and routine examinations.
Monitor evolving CFTC rulemaking (including digital-asset derivatives guidance) and update FCM compliance framework accordingly.
Oversee customer fund segregation compliance and FCM financial condition reporting.
Report directly to the Global Head of Compliance; provide regular compliance reporting to senior management and the Board.
Build, manage, and mentor a high-performing US compliance team.
Develop and deliver compliance training programs tailored to US regulated business lines.
Collaborate with global compliance leads, legal, technology, and business teams to ensure a coordinated enterprise-wide compliance posture.
Lead market surveillance oversight for US regulated venues.
Identify and manage regulatory risk arising from new products, markets, and business initiatives.