Associate, Regulation
Job Description:
• Conduct daily trade practice surveillance and support the onboarding of new customers to promote compliance from day one.
• Assist in preparing and submitting timely, accurate regulatory filings to the Commodity Futures Trading Commission.
• Review and update exchange policies and procedures to support compliance with the Commodity Exchange Act and Commodity Futures Trading Commission regulations.
• Identify, investigate, and escalate potential trade practice violations in accordance with regulatory requirements and internal protocols.
• Partner closely with the Regulation Team on investigations, regulatory reporting, and ongoing trade practice oversight.
• Monitor market activity, participant behavior, relevant news, and industry performance trends that may impact listed contracts.
• Provide rotational coverage during market hours to ensure continuous and effective market surveillance.
Requirements:
• At least 1 year of experience in market regulation or compliance within a Designated Contract Market, exchange, broker-dealer, or regulatory oversight body.
• Strong attention to detail and a high degree of accountability when handling sensitive or time-critical data.
• Flexibility to support rotating shifts during live market coverage windows.
• Familiarity with case management systems and market surveillance tools is preferred.
• A genuine interest in prediction markets, sports trading, or broader financial markets, with a curiosity about how evolving products intersect with regulation.
Benefits:
• Bonuses
• Equity
Apply Now
Apply Now
• Conduct daily trade practice surveillance and support the onboarding of new customers to promote compliance from day one.
• Assist in preparing and submitting timely, accurate regulatory filings to the Commodity Futures Trading Commission.
• Review and update exchange policies and procedures to support compliance with the Commodity Exchange Act and Commodity Futures Trading Commission regulations.
• Identify, investigate, and escalate potential trade practice violations in accordance with regulatory requirements and internal protocols.
• Partner closely with the Regulation Team on investigations, regulatory reporting, and ongoing trade practice oversight.
• Monitor market activity, participant behavior, relevant news, and industry performance trends that may impact listed contracts.
• Provide rotational coverage during market hours to ensure continuous and effective market surveillance.
Requirements:
• At least 1 year of experience in market regulation or compliance within a Designated Contract Market, exchange, broker-dealer, or regulatory oversight body.
• Strong attention to detail and a high degree of accountability when handling sensitive or time-critical data.
• Flexibility to support rotating shifts during live market coverage windows.
• Familiarity with case management systems and market surveillance tools is preferred.
• A genuine interest in prediction markets, sports trading, or broader financial markets, with a curiosity about how evolving products intersect with regulation.
Benefits:
• Bonuses
• Equity
Apply Now
Apply Now