Derivatives Compliance Manager Jobs

Product Owner – Digital Assets (H/F) About Horizon Trading Solutions Horizon Trading Solutions is an independent global technology company focused on electronic trading, supporting agency and principal business goals across equities and derivatives. For over 20 years, we have equipped leading capital market participants with algorithmic trading technology and direct connectivity to more than 80 exchanges worldwide. We are currently looking for a Product Owner – Digital Assets to join our Product Management team and define, structure and drive the development of Digital Assets capabilities within our existing multi-asset trading platform. This newly created role combines product strategy and execution: the first objective is to structure and define the Digital Assets scope, build the roadmap and position the offer through market and competitive analysis, before leading its implementation and acting as the internal reference point on Digital Assets topics. If you join us, you will: Product Strategy & Build (Primary Focus) Define the Digital Assets product vision and positioning Build and maintain the Digital Assets roadmap Conduct market and competitive analysis Identify relevant use cases aligned with our existing client base Define how Digital Assets capabilities integrate within our current architecture Assess regulatory and compliance implications related to Digital Assets initiatives Product Delivery Translate product vision into clear functional specifications Own and prioritize the backlog Work closely with Engineering teams to drive implementation Ensure alignment between roadmap objectives and delivery Internal Enablement Act as internal reference on Digital Assets topics Support Sales and Client Delivery teams in understanding new capabilities Contribute to client discussions when required Help structure internal knowledge around Digit

About Us OG.com is a fast-growing, CFTC-regulated Prediction Market platform powered by cutting-edge technology. We’re building an engaging marketplace where users trade on real-world outcomes - from major sports and elections to cultural and financial events. With a sleek mobile-first app and a passionate community, we’re redefining how people interact with news, probabilities, and financial markets. OG.com runs on the rails of North American Derivatives Exchange, Inc. (NADEX), a CFTC-regulated exchange operating since 2004 and was acquired by Crypto.com in 2022. OG.com is seeking to hire a Legal Counsel - Capital and Prediction Markets in the United States. OG.com was created from the innovative technology and product expertise of Crypto.com, which remains a key partner of OG.com. The Legal Team provides legal and regulatory advice to ensure that all products and services offered by OG.com and the partners of OG.com, including Crypto.com are compliant per U.S. law and regulations, including the U.S. Securities laws and the regulations of the U.S. Securities and Exchange Commission (SEC). The Legal Team interfaces externally with regulators and service providers in order to demonstrate compliance with applicable law and regulation for OG.com. This role will report to the Chief Legal Officer in the U.S. The primary focus for this role will be to serve as the Legal Team’s expert on the SEC law and regulations applicable to National Securities Exchanges and broker-dealers, as well as the intersection of securities laws with prediction markets and jointly regulated derivatives products offered by OG.com and its CFTC-registered exchange, clearinghouse, futures commission merchant, and affiliated introducing brokers. The Legal Team provides proactive and solution-oriented legal and regulatory advice and guidance to multiple stakeholders to enable the development and launch of OG.com products and services in a way that meets our obligations as well as the needs of ou

Role Overview – Market Data Site Reliability and Engineering (SRE) This team ensures the high availability and performance of systems that distribute real-time, historical, and reference market data across the firm. These platforms handle extremely high message volumes - over 10 million/second with microsecond latency - and support global financial instruments including equities, fixed income, FX, and derivatives. Key Responsibilities Maintain and optimize global market data distribution systems Monitor capacity, manage latency, and ensure platform stability and security Collaborate with users and developers on integration, migrations, and compliance Support production operations, test new releases, and perform system upgrades Identify automation and efficiency improvements in daily operations Required Skills Strong knowledge of UNIX/Linux, including scripting and performance tuning Proficiency in shell scripting and Python (Java/C++/Perl a plus) Understanding of networking protocols (TCP/IP, UDP, multicast preferred) Experience managing global, high-availability systems Strong problem-solving and communication skills Preferred Skills Familiarity with Agile, CI/CD, project management Knowledge of database technologies The successful candidate should have : Excellent communication skills, broad sense of ownership and proactiveness Bachelor's degree in computer science or a related STEM subject (science, technology, engineering, maths). Good grades 2.1 and above. We look for potential, not prestige, but it’s important that you enjoy pushing yourself to pick up new ideas. A passion for Financial Markets Solid communication skills for facing off both to IT and business teams Strong understanding of server, storage, MQ, and application technologies (Java, .NET, C++) Able to troubleshoot, problem solver, analytical Proficiency with Linux Strong SQL databases experience such as Sybase, DB2, Oracle); able to search log files and compose SQL queries. Net

If you’ve always dreamt of an exciting career in Banking, Finance and Tech, now’s the time to make it a reality. Over the past decade, increasing regulatory scrutiny has led to the evolution of banking services which now play a critical part in every single stage of the trade lifecycle and the overall client journey. It is now the sharp tip of a bank’s competitive edge. Within Banking Services, it has therefore never been more crucial to get it right and demand for top talent is high. These roles are challenging, demanding attention to detail and a strong client focus, a keen sense of risk and an awareness of the regulations. At mthree, we can provide you with professional, fully paid, completely free training to embark on your career as an mthree Alumni within Banking Services …. and we open doors to world-leading financial institutions. Some of these roles include: Trade Support (Securities, Treasury, Transaction Management) Anti Financial Crime ( Anti Money Laundering, Fraud) Fund Accounting (Fund Accounting Analyst) Derivatives Risk, Regulation and Compliance (Credit Risk, Market Risk, Controls, Reporting) Client Lifecycle Management (KYC/AML, CDD, Risk Assessment,) Regulatory Transformation (Business Analysis, Project Management, Client Outreach) Data (Governance, Management, Remediation, Analysis) Working within Banking Services will offer fulfilment, increased opportunities for progression and the chance to work with new technologies and multiple business lines. This pathway is perfect for you if… You have a 2.2 or above degree You have a genuine interest in Banking and Financial Markets. Degree topics we have seen succeed but not limited to include - Law, Mathematics, Finance, Banking, Economics. Accounting You’re an excellent verbal and written communicator. You’re hungry to learn and upskill. It’s a bonus if you already have experience working in teams in a collaborative environment. The successful candidate must, by the start of t

The role sits within the Markets COO organisation. We are a dynamic, global and diverse organization focused on controls and regulatory management for Markets Operations, which has a presence in over 60 Countries; covering all post execution Operations teams including product aligned Middle Office groups, Settlements, Margin, Asset Servicing, Listed Derivative & Commodities Operations. We support an extensive range of Capital Markets products and services including Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi is consistently a dominant top 3 player in the market, Equity (Cash, Derivatives, Prime Brokerage, Futures, Listed Derivs, FXPB) where Citi has a significant growth program to continue to build out its capabilities and services; and Syndicates where we support both FI and EQ new issues and IPOs. Our Operations groups are core to the success of the Markets business and have a significant impact across the lifecycle of a Trade. We partner extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Compliance, Legal, Finance and HR; alongside having significant interaction with our external client base, playing a key role in the overall client expe

The Banker is a senior-level position responsible for assisting clients in raising funds in the capital markets, as well as in providing strategic advisory services for mergers, acquisitions and other types of financial transactions in coordination with the Institutional Banking team. The Banker also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital for clients. Responsibilities: Lead in the origination, structuring, and execution of transactions and financings and foster and leverage ongoing global relationships inside and outside of the organization Manage credit risk of the client portfolio and allocate capital prudently through partnership with senior credit officers and capital management Provide a wide range of treasury and corporate finance solutions including cash management, trade, vendor finance, FX, general credit, loans, debt capital markets, structured finance, share repurchase, and interest rate and equity derivatives for a selected client portfolio Provide sophisticated financial solutions tailored to clients’ needs and act as a content provider on industry and market trends Meet revenue and other financial goals by leveraging Citi’s full spectrum of Institutional Client Groups (ICG) products and services and ensure solutions meet or exceed internal risk, return and compliance requirements, ethical standards, and anticipated future changes in the marketplace Partner with ICG partners to execute episodic transactions and drive client planning by delivering product agnostic solutions, client access, and effective capital allocation Recruit and develop diverse talent for the Corporate Bank and serve as a mentor to junior bankers Appropriately assess risk when business decisions are made, demonstrating particular consideration

The Banker is a senior-level position responsible for assisting clients in raising funds in the capital markets, as well as in providing strategic advisory services for mergers, acquisitions and other types of financial transactions in coordination with the Institutional Banking team. The Banker also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital for clients. Responsibilities: Lead in the origination, structuring, and execution of transactions and financings and foster and leverage ongoing global relationships inside and outside of the organization Manage credit risk of the client portfolio and allocate capital prudently through partnership with senior credit officers and capital management Provide a wide range of treasury and corporate finance solutions including cash management, trade, vendor finance, FX, general credit, loans, debt capital markets, structured finance, share repurchase, and interest rate and equity derivatives for a selected client portfolio Provide sophisticated financial solutions tailored to clients’ needs and act as a content provider on industry and market trends Meet revenue and other financial goals by leveraging Citi’s full spectrum of Institutional Client Groups (ICG) products and services and ensure solutions meet or exceed internal risk, return and compliance requirements, ethical standards, and anticipated future changes in the marketplace Partner with ICG partners to execute episodic transactions and drive client planning by delivering product agnostic solutions, client access, and effective capital allocation Recruit and develop diverse talent for the Corporate Bank and serve as a mentor to junior bankers Appropriately assess risk when business decisions are made, demonstrating particular consideration

Capital Markets Regulatory Change – Consultant / Senior Consultant Location: Dallas, Texas (Hybrid) | Practice Area: Capital Markets | Type: Permanent Deliver regulatory transformation that helps financial institutions navigate complexity with confidence. The Role As a Consultant or Senior Consultant within Capital Markets Regulatory Change, you will work with leading financial institutions to deliver critical regulatory initiatives. You will collaborate with stakeholders across business and technology teams to support large-scale transformation programs, helping clients meet regulatory requirements while improving operational efficiency and resilience. What You’ll Do Support delivery of regulatory change initiatives across capital markets clients, ensuring alignment with evolving requirements Collaborate with stakeholders to analyze impacts, define solutions, and support implementation of regulatory programs Contribute to operating model design, process improvements, and post-implementation enhancements Manage workstreams, deliverables, and stakeholder communications across complex projects Support development of new business opportunities and contribute to market propositions What We’re Looking For Experience in capital markets with understanding of front-to-back functions (e.g., Front Office, Risk, Operations, Finance, Compliance) Knowledge of key products such as OTC derivatives, Fixed Income, or Equities Experience delivering regulatory or large-scale change programs within consulting or financial services Strong stakeholder management, communication, and analytical skills Ability to manage multiple priorities in a fast-paced, client-focused environment Bonus Points For Experience in regulatory-driven transformation or compliance initiatives Exposure to operating model design or architecture simplification Experience managing workstreams or leading project deliverables Ability to present to senior stakeholders across business and technology Experience co

Ready to do the most impactful work of your career? At Coinbase , we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. Coinbase is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.” learn more about working at Coinbase . Senior Associate, FCM The FCM Operations team supports Coinbase Financial Markets, Inc. across US Futures, Prediction Markets, and Options by managing back-office operations including trade flow management, position management, margin monitoring, regulatory reporting, and business analytics. As a Senior Associate, FCM, you'll own exception management and operational readiness for new product launches, ensuring our derivatives infrastructure scales reliably while meeting regulatory expectations. What you'll do: Own exception management across cash, positions, trades, and margin, including triage, investigation, resolution, and implementation of durable fixes Lead operational readiness for new product launches, covering UAT/test case design, playbooks, cutover plans, and post-launch stabilization Partner with Product, Risk, Compliance, Accounting, and Engineering to design processes, controls, and reporting that scale and meet regulatory expectations Establish monitoring and exception reporting frameworks (SLAs, KPIs, dashboards) and run incident triage with clear escalation paths Drive root cause analysis and post-mortems, translating learnings into product and process improvements Identify and implement automation and tooling to reduce operational friction and manual work Required Skills and Experience: 5+ years in financial services or fintech operations with FCM, b

Ready to do the most impactful work of your career? At Coinbase , we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. Coinbase is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.” learn more about working at Coinbase . As a Senior Counsel, Shareholder Litigation on the Litigation team, you'll manage and drive Coinbase's defense across securities class actions, shareholder derivative suits, and related complex civil litigation. This team sits within Legal - Litigation and handles some of the highest-stakes disputes the company faces, from federal securities claims to corporate governance disputes. You'll serve as the primary in-house point of contact for these proceedings, shaping strategy from pleadings through resolution and advising senior leadership and the board on litigation risk. What you'll do: Own the day-to-day management of securities class actions brought under the Securities Act of 1933 and the Securities Exchange Act of 1934, including pleadings strategy, discovery, motions practice, expert work, and settlement negotiations. Lead the defense of shareholder derivative litigation, including pre-suit demand letters and attendant matters. Partner cross-functionally with corporate and commercial legal teams on a variety of issues including public company filings. Manage and direct outside litigation counsel from case inception through resolution, including pleadings strategy, discovery, motions practice, expert work, and settlement negotiations. Monitor developments in corporate law and other relevant jurisdictions and proactively advise on how emerging case law may affect

Clinical Database Programmers are operationally responsible to provide technical support and oversight for the Medidata Clinical Cloud (MCC) implementation activities. Clinical Database Programmers will maintain project level perspective, focus and communicate effectively as the MCC SME on technical and functional electronic data capture programming and data management activities, timelines and deliverables. KEY TASKS & RESPONSIBILITIES Design/develop and test clinical databases including forms, folders, matrices, data dictionaries, unit dictionaries, edit checks, derivations, custom functions, standard and custom reports Performs peer review for the studies built by other Clinical Database Programmers Responsible for the development, maintenance, and compliance of database builds and EDC standards in support of clinical studies including, but not limited to, Global Library, Edit Checks, CRF modules Manages timely-quality deliverables for the study teams for assigned protocol/study(s) Functions as an EDC Subject Matter Expert (SME) providing guidance and best practice recommendations to Data Management, operations teams, and other stakeholders on basic Medidata Rave functionality Working knowledge of additional Medidata Rave modules, including Coder, RTSM, Lab Admin, iMedidata/Cloud Admin or other modules. Other duties as assigned CANDIDATE’S PROFILE Education & Experience Bachelor’s degree or equivalent work experience preferred 2+ years in Pharmaceutical/Biotechnology industry or equivalent preferred Experience with requirements gathering, design and specification development of CRFs, edit checks, site queries, and understanding of database structures and programming languages Professional Skills Ability to work creatively and independently to carry out assignments of a complex nature Ability to communicate and work effectively and cooperatively with other professional staff members Detail oriented, ability to multitask with str

Crypto.com | Derivatives North America (“CDNA”) presents a unique opportunity for a full time Analyst to join its Market Regulation team. CDNA is a U.S. derivatives exchange registered with and regulated by the CFTC as a contract market and clearing organization. CDNA currently offers fully-collateralized event contracts and will be offering traditional futures products in the near future. The Market Regulation Department is responsible for enforcing the Exchange’s rules through market advisories, investigations, trade surveillance, and disciplinary actions. In this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations applicable to trading across multiple asset classes traded on CDNA markets, and provide guidance to market participants based on their dynamic needs. You must be professional, proactive, analytical, able to collaborate with others and create efficient, innovative approaches to gathering and analyzing data, and communicate clearly and concisely. Responsibilities Real-Time Market Monitoring Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. Monitor real-time market data to ensure participant compliance with margin requirements and position limits. Utilize surveillance tools and dashboards to flag anomalies and escalate concerns. Trade Analysis & Investigation Conduct post-trade reviews and forensic analysis of flagged transactions. Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer.

Department: Compliance Reports To: Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days/week) Licensure: Series 3 and Series 34 strongly preferred Salary : $100,000-$140,000 As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining the firm’s regulatory standing and reports directly to the Chief Compliance Officer. tastyfx is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on giving customer access to global currencies via the spot forex market. Built from the ground up by a team with decades of experience in the financial industry, we’re a modern brokerage for the current financial climate. What You’ll Do: Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules. Provide advice and guidance to the business partners on existing products and services as well as new products. Maintain firm registration; track AP licensing requirements. Assist the CCO with responding to NFA and CFTC inquiries, audits and examinations; coordinate documentation requests. Review marketing materials and customer communications for compliance with NFA Marketing Compliance Rules. Deliver training on compliance requirements, including emerging regulations, internal protocols, and best practices. Supervise customer due diligence processes to ensure adherence to AML and KYC requirements, optimizing the customer experience while managing the firm's customer risk. Monitor suspicious activity and prepare SAR filings as needed in coordination with the AML Officer/CCO. Monitor customer complaint handling. Who You Are: Bachelors degree in Finance, Business, Law, or related field 5+ years of compliance experience in the retail forex, futures, or broader derivatives/securities

Our Local Programs and Regulatory Compliance team is responsible for ensuring compliance with local laws and regulations in the countries where we operate. Crypto.com | Derivatives North America (“CDNA”) presents a unique opportunity for a full time Analyst to join its Market Regulation team. CDNA is a U.S. derivatives exchange registered with and regulated by the CFTC as a contract market and clearing organization. CDNA currently offers fully-collateralized event contracts and will be offering traditional futures products in the near future. The Market Regulation Department is responsible for enforcing the Exchange’s rules through market advisories, investigations, trade surveillance, and disciplinary actions. In this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations applicable to trading across multiple asset classes traded on CDNA markets, and provide guidance to market participants based on their dynamic needs. You must be professional, proactive, analytical, able to collaborate with others and create efficient, innovative approaches to gathering and analyzing data, and communicate clearly and concisely. Responsibilities Real-Time Market Monitoring Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. Monitor real-time market data to ensure participant compliance with margin requirements and position limits. Utilize surveillance tools and dashboards to flag anomalies and escalate concerns. Trade Analysis & Investigation Conduct post-trade reviews and forensic analysis of flagged transactions. Conduct investigations of potential

The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. Responsibilities: Resolve complex process problems which require an in-depth evaluation of basic securities processing procedures and industry standards Process various hedge fund tasks, including calculating net asset value, reconciling cash and holdings, and pricing securities Offer advanced solutions for assigned securities processing areas Provide guidance and assistance to junior staff Oversee the set-up of new hedge funds, while representing a securities processing team, and acting as the analytical and procedural expert Serve as analytical or procedural expert for securities processing deliverables/initiatives Prepare expense budgets, analyze expense calculations, and prepare unaudited financial statements Ascertain fund value and allocate values to each investor Assist with the development of new techniques and streamlining hedge fund/securities processing activities Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. Recommended Qualifications : 5-8 years of relevant experience Consistently demonstrates clear and concise written and verbal commun