Senior Compliance Manager

Summary

Join ForecastEx, a subsidiary of Interactive Brokers, as a Senior Compliance Manager and lead our compliance and regulatory initiatives. This leadership role ensures adherence to CFTC regulations, manages compliance risks, and fosters a culture of regulatory excellence. You will oversee regulatory filings, audits, and examinations, develop and implement compliance programs, and lead a team of compliance professionals. The ideal candidate possesses deep regulatory expertise, a proactive approach, and strong leadership skills. This remote-eligible position offers a competitive salary, benefits, and professional development opportunities within a dynamic and collaborative team environment.

Requirements

• Bachelor’s degree in Law, Finance, Business, or a related field; advanced degree preferred
• At least 7–10 years of experience in regulatory compliance, ideally in the derivatives or financial services industry
• Deep understanding of CFTC regulations and derivatives market structure
• Proven leadership experience with the ability to manage teams and collaborate with diverse stakeholders
• Strong analytical and problem-solving skills, with attention to detail and a proactive approach to compliance challenges
• Excellent communication skills, with the ability to clearly articulate complex regulatory concepts to diverse audiences

Responsibilities

• Serve as the primary point of contact for regulatory matters, including interactions with the CFTC and other regulatory bodies
• Develop, implement, and maintain a comprehensive compliance program to ensure adherence to all applicable laws and regulations
• Oversee regulatory filings, audits, and examinations, ensuring timely and accurate submissions
• Establish and enforce internal policies and procedures to mitigate compliance risks
• Stay updated on regulatory changes and industry best practices, advising leadership on necessary adjustments
• Identify, assess, and manage regulatory risks associated with existing and new products
• Ensure the company fully complies with all CFTC regulations and all other applicable laws and regulations across all operations and activities
• Oversee the electronic surveillance system to monitor trading activity and detect potential rule violations
• Conduct investigations into any flagged or suspicious activity, ensuring adherence to exchange and CFTC rules, and take enforcement actions as necessary
• Lead and mentor a team of compliance professionals, fostering a high-performing and collaborative work environment
• Partner with cross-functional teams, including product development, legal, operations, and technology, to ensure compliance is integrated across all business areas
• Provide regular updates to executive leadership and the board on compliance activities, risks, and strategies
• Represent the company in industry forums and regulatory discussions

Preferred Qualifications

Experience with event contracts or prediction markets is a plus

Benefits

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan (401K) with company match
• Excellent health benefits, including medical, dental, and vision
• Paid time off and a generous parental leave policy
• Flexible remote work in eligible states
• A collaborative, growth-focused environment with mentorship and professional development opportunities
• A dynamic, collaborative team environment with significant opportunities to shape the compliance and regulatory framework of an innovative exchange