US Chief Compliance Officer — Top Crypto Exchange

Our client is a global digital-asset trading platform expanding its US operations. We are seeking a senior compliance leader to establish and lead the US compliance function from the ground up. This is a hands-on build-out role for an experienced NFA/CFTC professional, working closely with the client’s legal team, outside counsel, and guarantor FCM.

The Role

Lead the US regulatory program, including NFA registration, day-to-day compliance oversight, and the development of the framework needed to support a growing business. The client aims to hire within a few weeks and is moving quickly.

Responsibilities

• Lead the NFA registration process, including relevant firm and individual filings.
• Serve as a listed principal and registered Associated Person, and administer NFA Online Registration System access as Security Manager.
• Build and maintain written supervisory procedures, the AML program, information security program, business continuity and disaster recovery plans, ethics training, and annual self-examination.
• Oversee AML controls, customer identification, suspicious activity monitoring, training, and the annual independent review, coordinating with the guarantor FCM as needed.
• Supervise registered staff and customer-facing activity; review public communications and promotional materials under applicable NFA rules.
• Serve as the primary contact for the NFA, CFTC, and guarantor FCM; manage examinations, inquiries, responses, complaints, and required records.
• Advise product, marketing, customer support, and growth teams on compliance implications, including developments affecting digital-asset derivatives and event contracts.
• Build the compliance function as the business grows, including arranging backup Security Manager coverage.

What You’ll Bring

• A Series 3 that currently qualifies you for NFA registration.
• At least five years of compliance, registration, or registered experience at an FCM, introducing broker, CTA/CPO, exchange, or comparable regulated business.
• Practical working knowledge of CFTC regulations and NFA rules, including registration, supervision, AML, public communications, recordkeeping, information security, and business continuity.
• Experience with NFA examinations and regulatory correspondence.
• US-based, authorized to work in the United States, and able to work full-time in Chicago.
• Willing and eligible to be publicly listed as a principal and registered AP, and to complete the required regulatory background process.
• Strong written and spoken English, with the ability to draft policies and communicate independently with regulators.

Nice to Have

• Experience with crypto, digital-asset derivatives, or perpetual-style futures.
• Experience leading an NFA registration or working with a guarantor FCM.
• Series 30, NFA Swaps Proficiency Requirements, or CAMS certification.
• Mandarin Chinese.

Location & Compensation

Chicago, United States · Hybrid. Compensation: $250,000–$400,000 base, plus bonus.