US Compliance Officer

LMAX Group•New York, NY

1d•$150,000 - $250,000

About The Position

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), and 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.

Requirements

5 –12+ years of experience in financial services compliance
Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
Experience in licensing processes (SEF, BitLicense, ATS, or similar) highly desirable
Strong understanding of CFTC regulatory framework (especially SEFs and swaps)
Strong understanding of US market structure for derivatives and/or digital assets
Strong understanding of trade reporting, market surveillance, and compliance controls
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)
Proactive, pragmatic, and solutions-oriented
Strong communicator with ability to engage regulators and internal stakeholders
Comfortable building from scratch in a developing regulatory environment

Nice To Haves

Preferably within: Trading venues (SEF, MTF, exchanges), FX, derivatives, or digital assets
Familiarity with cross-border regulatory frameworks (UK FCA, MAS) is a plus

Responsibilities

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)
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
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
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
Monitor US regulatory developments (including digital asset legislation)
Advise senior management on regulatory risks and strategic opportunities
Translate regulatory developments into actionable internal changes