We are seeking a hands-on US Compliance Lead to drive and support the build-out of our US regulatory presence. This role is ideal for an experienced compliance professional who is comfortable operating at both strategic and execution levels.
You will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential:
- Digital asset licenses including: NYDFS BitLicense application
- CFTC SEF (Swap Execution Facility) registration
- CFTC Digital Commodity Exchange framework (subject to legislative developments)
This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.
The US Compliance Person is responsible for:
Regulatory Strategy & Licensing
- Lead and support US regulatory strategy across derivatives and digital assets
- Manage and contribute to licensing processes, including:
CFTC SEF registration
NYDFS Bit License application
Potential CFTC Digital Commodity Exchange authorisation
- Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others)
Policy & Framework Development
- Draft, implement, and maintain compliance policies and procedures including:
Market conduct and surveillance
AML/KYC and financial crime controls
Trade and transaction reporting
Governance and internal controls
- Ensure alignment with both US frameworks and existing UK/Singapore regulatory obligations
Execution & Operations
- Support day-to-day compliance operations across US-related activities
- Build and implement regulatory reporting processes (CFTC, NFA, state regulators)
- Establish and oversee monitoring, surveillance, and control frameworks
- Assist with onboarding processes and client due diligence
Cross-Border Coordination
- Work closely with compliance, legal, and operations teams in the UK and Singapore
- Ensure consistency in global compliance standards while adapting to US regulatory requirements
Regulatory Change & Advisory
- Monitor US regulatory developments (including digital asset legislation)
- Advise senior management on regulatory risks and strategic opportunities
- Translate regulatory developments into actionable internal changes
Salary Range: $150,000 - $250,000
Requirements
Experience
- 5 –12+ years of experience in financial services compliance, preferably within:
- Digital Assets, trading venues (SEF, MTF, exchanges) FX or derivatives,
- Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
- Experience in licensing processes (SEF, BitLicense, ATS, or similar)
Technical Knowledge
- Strong understanding of:
- CFTC regulatory framework (especially SEFs and swaps)
- US market structure for derivatives and/or digital assets
- rade reporting, market surveillance, and compliance controls
- Familiarity with cross-border regulatory frameworks (UK FCA, MAS) is a plus
Working Style
- Highly hands-on and execution-oriented
- Comfortable working in a lean, entrepreneurial environment
- Ability to move between strategy and detailed implementation
- Strong drafting skills (policies, procedures, regulatory submissions)
Personal Attributes
- Proactive, pragmatic, and solutions-oriented
- Strong communicator with ability to engage regulators and internal stakeholders
- Comfortable building from scratch in a developing regulatory environment
Benefits
- 25 days of holiday (PTO)
- Bonus
- Pension: 401K
- Private medical, dental, and vision coverage
- Life insurance
- TriNet Platform
- Wellness contribution program with access to ClassPass
- Plumm Platform
- Five volunteering days
Skills Required
- 5-12+ years of financial services compliance experience
- Experience within digital assets, trading venues (SEF, MTF, exchanges), FX or derivatives
- Direct experience with US regulators (CFTC, NFA, NYDFS)
- Experience in licensing processes (CFTC SEF registration, NYDFS BitLicense, ATS or similar)
- Strong understanding of CFTC regulatory framework (SEFs and swaps)
- Knowledge of US market structure for derivatives and/or digital assets, trade reporting, market surveillance and compliance controls
- Familiarity with cross-border regulatory frameworks (UK FCA, MAS)
- Strong drafting skills for policies, procedures, and regulatory submissions
- Highly hands-on, execution-oriented; ability to work in a lean environment and move between strategy and implementation
What We Do
The LMAX Group is the leading independent operator of institutional execution venues for FX and crypto currency trading. LMAX Group is unique in offering market access to all FX customer segments, transforming the world’s largest asset class to an open, transparent marketplace with fair, precise & consistent execution. LMAX Group services funds, banks, asset managers and retail brokerages in over 100 countries. The Group builds and runs its own high performance, ultra-low latency global exchange infrastructure, which includes matching engines in London, New York and Tokyo. Headquartered in London, UK, the Group’s portfolio includes LMAX Exchange (institutional FX exchange and FCA regulated MTF), LMAX Global (FCA and CySec regulated brokers) and LMAX Digital (GFSC regulated institutional spot crypto currency exchange).
