Director of Compliance

Role Overview

• Own day-to-day compliance monitoring and program execution across EXI’s DCM and DCO regulatory obligations under CFTC Parts 38 and 39.
• Maintain and administer EXI’s compliance procedures, policies, and internal controls frameworks, including the Compliance Manual and Compliance Desk Manual.
• Track and manage EXI’s regulatory calendar, including filing deadlines, self-certification obligations under Part 40, and periodic reporting requirements.
• Assist in the preparation and review of annual compliance reports, Core Principle assessments, and other periodic regulatory deliverables.
• Support the CRO/CCO in managing all aspects of CFTC examinations, including document production, coordinating responses, and scheduling with Division staff.
• Manage EXI’s trade surveillance program, including oversight of the Eventus/Validus platform configuration, alert review workflows, and investigation procedures.
• Mentor the Compliance team, helping set performance expectations and developing their capacity to operate independently.
• Review and disposition surveillance alerts across EXI’s automated detection scenarios, including layering, spoofing, wash trading, and other manipulative or disruptive trading practices.
• Serve as the primary internal point of contact for inbound inquiries from CFTC Divisions (DMO, DCR, MPD, DOD), coordinating internally and with the Legal department.
• Draft initial responses to CFTC inquiries, information requests, and examination questions, with review by the CRO/CCO and/or Legal prior to submission.
• Act as the primary compliance liaison to the Operations and Engineering teams, ensuring regulatory requirements are understood and incorporated into system design, product development, and operational workflows.

Requirements

• 8–12 years of compliance, regulatory, or legal experience at or with CFTC
• or SEC-regulated entities or SROs, including DCMs, DCOs, FCMs, broker-dealers, exchanges, clearinghouses, or similar regulated markets or registrants.
• Substantive knowledge of CFTC regulations, including Parts 1, 16, 17, 38, 39, and 40 and familiarity with Core Principle obligations for exchanges and clearinghouses.
• Demonstrated experience with CFTC regulatory reporting, specifically Parts 16 and 17; comparable SEC or FINRA reporting experience is considered highly transferable.
• Experience in trade surveillance, including alert review, investigation management, and surveillance platform administration.
• Demonstrated experience drafting regulatory correspondence, responding to examinations, or managing relationships with government regulators or SROs.
• Strong writing and analytical skills, with the ability to synthesize complex regulatory issues into clear, actionable internal and external communications.
• Experience supervising or mentoring junior compliance or surveillance staff.
• Ability to work cross-functionally with technical teams (Engineering, Operations) and translate regulatory requirements into operational specifications.
• Bachelor’s degree or equivalent experience required.

Benefits

• Health, vision and dental insurance
• 401(k) match
• Supplemental health and disability insurance
• Unlimited vacation
• Parental leave