Compliance Officer - Trade Conduct

The role

The Trade Conduct Compliance Officer will serve as the primary subject matter expert on trading surveillance, market conduct, and exchange-level compliance. This person will monitor, investigate, and escalate trading activity to ensure adherence to CFTC regulations, NFA rules, and DCM rulebooks.

What you will do

• Design, operate, and enhance the firm's trade surveillance program.
• Monitor proprietary trading and IB-introduced order flow for compliance with CFTC and DCM rules.
• Conduct reviews of trading alerts, triage, investigate, and document findings.
• Maintain surveillance logs and investigation records for NFA examiners.
• Liaise with FCM and exchange surveillance departments.
• Own compliance with audit trail, large trader reporting, and position monitoring.
• Monitor compliance with position limits established by FCM.
• Oversee compliance with NFA requirements for trade record-keeping.
• Review IB order routing and execution quality for best execution standards.
• Monitor algorithmic and automated trading strategies for compliance.

Required qualifications

• 5+ years of compliance, market regulation, or surveillance experience within a regulated environment (FCM, prop trading firm, IB, DCM market regulation, or DSRO).
• Strong technical understanding of futures and options on futures products, market microstructure, and trading mechanics across CME Group, ICE, and other major DCMs.
• Working knowledge of anti-manipulation rules, NFA Compliance Rules applicable to trading activity, and DCM Core Principles.
• Hands-on experience with trade surveillance systems and alert triage workflows.
• Familiarity with CAT reporting, Large Trader Reporting (CFTC Parts 17/18), and CFTC Form 40 obligations.
• Series 3 (National Commodity Futures Examination) — active registration required.
• Demonstrated ability to conduct and document trading investigations in a regulatory context.

Nice to have

• Experience with algorithmic and high-frequency trading compliance, including review of automated strategies and pre-trade risk controls.
• Familiarity with swap dealer and compliance obligations.
• Experience with Python, SQL, or other data analysis tools for trade data review.
• Series 30 (Branch Manager) registration.

Benefits

• comprehensive benefits
• performance-based incentives

Before you apply

• Applicants must be authorized to work in the applicable country without employer sponsorship.
• The Company does not offer visa sponsorship or immigration assistance for this position.

About the company

My Funded Futures is transforming the world of proprietary trading by giving traders the capital, tools, and community they need to succeed.