Deputy Chief Compliance And Regulatory Officer

Paul Murphy AssociatesChicago, IL

Apply with Sonara

Automate your job search with Sonara.

Submit 10x as many applications with less effort than one manual application.¹

Reclaim your time by letting our AI handle the grunt work of job searching.

We continuously scan millions of openings to find your top matches.

Overview

Remote

On-site

Job Description

This job is posted on behalf of Paul Murphy Associates by Top Echelon.

Job Title: Deputy Chief Compliance and Regulatory Officer

Location: Chicago, IL (60604) - Hybrid | On-site 3 days a week

Employment type: Full-time

This role will be part of the Exchange Market Regulation team responsible for enforcing the Exchange’s rules through market advisories, investigations, trade surveillance, and disciplinary actions. As the company continues to launch new products and scale out Exchange offerings, they are looking for a Senior Director, Deputy Chief Compliance and Regulatory Officer to join the team and assist the CCRO in leading a world-class regulatory and compliance function. If you’ve helped lead the compliance program of a CFTC registrant, or navigated CFTC/NFA scrutiny, this is your moment to help shape a high-growth Exchange from the ground up.

Responsibilities:

· Assist the CCRO in the development, implementation and monitoring of the firm’s compliance program, including all aspects of regulatory compliance for the Exchange, ensuring ongoing adherence to CFTC Core Principles and the Commodity Exchange Act.· Serve as the Exchange’s primary liaison to the CFTC, including managing audits, filing self-certifications, ensuring accurate reporting and responding to inquiries.· Assist the CCRO in oversight of the ongoing development and adherence to policies, internal controls – ensuring best-in-class standards for risk, surveillance, KYC/AML, customer protection and information security.· Drive automation and systems integration for compliance monitoring, regulatory reporting, trade surveillance, and clearinghouse risk monitoring.· Support executive-level reporting on compliance posturing, regulatory updates, and material risks.· Collaborate with legal, finance, and operations teams to ensure integrated compliance practices.· Lead training initiatives to promote compliance awareness across the Exchange.

Requirements:

· 10+ years of experience in compliance leadership roles at a DCM, DCO, or regulatory agency (CFTC/NFA strongly preferred)· Proven track record of direct oversight of core principles and market integrity programs· Deep working knowledge of the Commodity Exchange Act (CEA), CFTC Core Principles, and Surveillance and Financial Integrity requirements.· Hands-on experience with audits, AML/KYC program design, and surveillance frameworks.· Confidence interfacing with regulators, external counsel, and executive leadership.· A passion for innovative market structure and a desire to find solutions within a compliance and ethical framework.· Bachelor’s degree required; JD or advanced regulatory certifications are a plus

Automate your job search with Sonara.

Submit 10x as many applications with less effort than one manual application.

Apply with Sonara Apply manually

FAQs About Deputy Chief Compliance And Regulatory Officer Jobs at Paul Murphy Associates

What is the work location for this position at Paul Murphy Associates?

This job at Paul Murphy Associates is located in Chicago, IL, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.

What pay range can candidates expect for this role at Paul Murphy Associates?

Employer has not shared pay details for this role.

What employment applies to this position at Paul Murphy Associates?

The employer has not provided this information. This may be discussed during the hiring process.

What is the process to apply for this position at Paul Murphy Associates?

You can apply for this role at Paul Murphy Associates either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.