VP/Director(1st Yr) NFA Compliance

4 weeks ago

New York, United States Lime Trading Full time

VP/Director(1st Yr) NFA Compliance

at Lime Trading

On Site - North America(New York)



Your Role:

As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance guidance around NFA/CFTC regulated new products, business initiatives and implementing a strong risk management framework, including assessing the design and operational effectiveness of critical compliance risk controls both financial and otherwise. In this role you will cover compliance functions under NFA/CFTC regulations across the Lime franchise. This is a unique opportunity to excel in a team of hard-working people, clients both small and very large, and innovative partners from around the world.

This role will be reporting directly to the CCO of Lime Trading with an opportunity to grow into the Deputy CCO role for Lime Trading.


Things You Will Do:

You will act in the above-described capacity across the franchise and drive the implementation and development of the compliance strategy for products regulated by NFA/CFTC. You will be an integral senior leader and provide support to Senior Leadership in managing and monitoring Lime’s NFA/CFTC compliance framework. You will oversee the design and delivery of the NFA/CFTC controls program, portfolio of projects, incident management, and implementation of overall compliance framework for the FCM as it pertains to the Futures product.


Liaise with the business on regulatory changes and update compliance policies and procedures as it pertains to products regulated by the NFA/CFTC for a US FCM.

Participate in new product reviews

Partner with business and entity management in managing NFA/CFTC Futures and options on futures regulatory reporting obligations.

Maintain a broad knowledge of the businesses in US and the regulatory framework in which it operates

Develop relationships with the Futures Line of Business and entity management support functions to keep abreast of current business developments and regulatory issues that may impact the risk environment of the firm

Be directly involved in regulatory risk assessments, dealing with regulatory updates, developments and inquiries relating to the Futures product in the US.

You will identify and address the compliance risk of new product and interact with local regulators (NFA/CFTC) to seek regulator's view, and advise business lines of the impact of regulatory changes on their business

You will also identify and address compliance risk around business lines and control functions and partner with business and local management in managing regulatory reporting obligations

Developing and maintaining a variety of policies in collaboration with compliance department in order to comply with applicable laws, rules and regulations and/or best practices

Working with business units and legal department to respond to customer inquiries, including in connection with contract negotiations, regarding privacy and other compliance matters

Qualifications

Have experience of working closely with various business partners to understand detailed business processes

Have a working knowledge of US regulations applicable to Futures Products (Futures, Options on Futures)

10+ years in NFA/CFTC Compliance functions covering FCM regulations, particularly around the Futures products.

1+ years of experience of operating in a project-based environment (e.g., project management, generation of business case) would be an advantage

Have experience working with NFA either as an employee or otherwise.

Strong understanding of business control environments and technology through prior equivalent roles.


How We Take Care of You:

  • Competitive Salary & Bonus Structure
  • Benefits: 401K Match, Medical, Vision and Dental benefits, etc
  • Life Time Fitness membership for only $25


Company information:

About Lime Trading Corp

Established in 2000, Lime’s founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy — so they created one.

Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms. As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.

  • Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA/SIPC/NFA. For more information, visit

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