MyFunded Futures
Fintech
ComplianceOfficerTradeConduct
“Compliance Officer - Trade Conduct at MyFunded Futures. Skills: Trade conduct compliance, Trading surveillance, Regulatory compliance, Futures and derivatives. Triage trading activity. Investigate trading activity”
Industry & Context.
Trade investigations
What They're Looking For.
Must Have
5+ years compliance experience, 5+ years market regulation experience, 5+ years surveillance experience, Technical understanding of futures, Technical understanding of options, Working knowledge of anti-manipulation rules, Working knowledge of NFA rules, Working knowledge of DCM Core Principles, Hands-on trade surveillance systems experience, Hands-on alert triage workflows experience, Familiarity with CAT reporting, Familiarity with Large Trader Reporting, Familiarity with CFTC Form 40, Active Series 3 registration, Demonstrated ability to conduct investigations, Demonstrated ability to document investigations
Nice to Have
Algorithmic trading compliance experience, High-frequency trading compliance experience, Review of automated strategies experience, Pre-trade risk controls experience, Swap dealer compliance obligations experience, Series 30 registration
What You'll Do.
Triage trading activity
Investigate trading activity
Document surveillance findings
Maintain surveillance logs
Maintain investigation records
Liaise with exchange surveillance
Respond to trading halts
Respond to audit trail requests
Own audit trail compliance
Own large trader reporting
Own ongoing position monitoring
Monitor position limits
Oversee trade record-keeping
Review execution quality
Assess best execution
Identify potential conflicts
Identify front-running risk
Monitor algorithmic trading
Monitor automated trading
Assess pre-trade controls
Assess post-trade controls
Ensure kill switch functionality
Ensure risk controls operational
Conduct investigations
Prepare investigation memoranda
Recommend disposition
Escalate significant findings
Support regulatory self-reporting
Participate in NFA examinations
Participate in CFTC inquiries
Prepare supporting documentation
Present surveillance program capabilities
Deliver proactive compliance guidance
Work with Business Conduct
Collaborate on firm-wide training
Collaborate on annual compliance review
Collaborate on surveillance tooling build-out
Collaborate on alert logic calibration
How You'll Work.
Team & Collaboration
Partner with teams; Work with Business Conduct; Collaborate with Technology; Collaborate with Risk
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