Deputy Chief Compliance Officer for CFTC Regulated Exchange Posted onMay 28, 2023Apply for this jobyour email:upload resume:ProfileAIEX offers an exciting career opportunity that mixes politics, events, business, finance, and technology. We aim to be the world's largest political event exchange managing billions of trades in event contracts. Everyone at AIEX is focused on our vision to transform how individuals can predict event outcomes and make money through head over heart investing in outcomes of mainly political events. AIEX expects to become the largest event market in the world. AIEX is registering with the US Commodity Futures Trading Commission (CFTC). AIEX is a 40-year-old company with a distinguished history in politics, software, and data science. AIEX provides software and market services to PredictIt, which set the standard for political event trading on a legal market for US traders. Now with 8 years of success behind it, AIEX is coming to life as a CFTC registered designated contract market. AIEX has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 130 employees across the country with team members in the EU, Canada, and South America.This role is DC-based but allows for a hybrid or fully remote schedule.We are seeking a highly skilled and experienced Deputy Chief Compliance Officer to join our team. The successful candidate will work closely with the Chief Compliance Officer to ensure that our CFTC-regulated exchange operates within the guidelines of applicable laws, regulations, and policies. This position is responsible for assisting in developing, implementing, and managing the exchange's compliance program.ResponsibilitiesAssist the Chief Compliance Officer in developing and implementing compliance policies and procedures to ensure adherence to regulatory requirements.Conduct periodic risk assessments to identify potential compliance issues and develop strategies to mitigate risks.Monitor regulatory developments and industry trends to ensure that the exchange remains up-to-date and compliant.Monitor compliance with applicable laws, regulations, and policies and ensure that the exchange is operating within the guidelines.Develop and provide training to employees and stakeholders on compliance-related issues and best practices.Train and supervise Control Desk employees conducting real-time and T1 market surveillance.Collaborate with other departments to ensure compliance-related issues are addressed in a timely and effective manner.Serve as a liaison between the exchange and regulatory authorities to ensure timely and accurate reporting.Investigate and respond to compliance-related inquiries, issues, and incidents.Develop and maintain a system for tracking and reporting compliance-related metrics.Assist in the preparation of reports to the board of directors and other key stakeholders.RequirementsBachelor's degree in business, finance, or a related field.Minimum of 4 years of experience in compliance or regulatory affairs, including some experience in the commodities sector.Strong knowledge of CFTC regulatory requirements and compliance best practices.Excellent communication and interpersonal skills, with the ability to interact effectively with employees, stakeholders, and regulatory authorities.Strong analytical and problem-solving skills.Ability to work independently and collaboratively in a team environment.Experience with compliance-related software and systems, Eventus preferred.Prior experience as a trader or risk management team member.Prior experience at high-frequency or direct market access trading firms.Direct experience developing and/or conducting trade surveillance.Direct experience with the CFTC registration process for DCM or SEF.Data Management: Understands concepts of data quality control and data lineage.Cyber Experience: Developing Cyber policies and programs with internal systems engineers; Formal Cyber certifications/education; Technology Committee Member Compliance representative.Systematic Controls: Close work with Systems/Dev teams to develop comprehensive systematic controls.Development: Broad understanding of Build, QA/Test, and Deploy processes from code repository to production environments (not an actual Dev); Any experience creating Notebooks in Jupyter Labs.We offer a competitive salary, comprehensive benefits package, and opportunities for professional development and advancement. If you are a self-motivated, detail-oriented professional with a strong work ethic and a passion for compliance, we encourage you to apply.BenefitsAll positions are Full-Time, with competitive compensation, medical benefits, paid vacation, 401k plan, and stock options. Casual dress code and a non-corporate atmosphere make this a fun place to work and learn in a team environment. Please visit our website at (link removed).#J-18808-Ljbffr