About this role
Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an Interim Chief Regulatory and Chief Compliance Officer (20-30 hours per week) for at least 6 months with strong Temp to Perm Potential
Overview: Major, Lindsey & Africa is seeking an experienced Chief Regulatory and Chief Compliance Officer at a FinTech with at least 10-15 years of experience.
Company: A new CFTC-regulated exchange that will offer users a novel type of security futures
Experience: At least 10-15+ years of experience as a Chief Regulatory and Chief Compliance Officer accountable for the regulatory and compliance integrity of company’s exchange and clearinghouse.
Location: Remote
Responsibilities Include:
• Lead and run the applications for DCM and DCO applications with the CFTC. • Oversee compliance with the CEA, SEC and CFTC regulations, and establish and administer the policies and procedures designed to ensure that compliance. • Lead and administer the Market Surveillance and Compliance Department.
Qualifications Include:
• Senior derivatives/markets attorney with deep CFTC, DCM, and DCO regulatory experience. • Demonstrated background in exchange and clearinghouse compliance, market regulation, and Dodd-Frank derivatives rules. • Recognized standing with the CFTC and industry advisory bodies. • Authority and judgment to operate independently and to escalate directly to the Board.
Information regarding benefits can be found on MLA’s Website on the Consultant Resources Page: https://www.mlaglobal.com/en/consultant-resources
All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.
Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws