Compliance Officer - Trade Conduct

Job description

At My Funded Futures, we’re transforming the world of proprietary trading by giving traders the capital, tools, and community they need to succeed. We blend innovation, transparency, and performance to create opportunity — helping traders scale faster and smarter. If you’re passionate about fintech, financial markets, and data-driven growth, you’ll fit right in. Explore our open roles below and see how you can help us shape the future of funded trading. **POSITION OVERVIEW** We are seeking an experienced Trade Conduct Compliance Officer to serve as the firm's primary subject matter expert on trading surveillance, market conduct, and exchange-level compliance obligations. This individual will be responsible for monitoring, investigating, and escalating trading activity across the firm's proprietary trading operations and IB business to ensure adherence to CFTC regulations, NFA rules, and the rulebooks of applicable Designated Contract Markets (DCMs). This is a highly analytical, market-facing role requiring deep fluency in futures and derivatives trading mechanics. **KEY RESPONSIBILITIES** **Trade Surveillance & Market Conduct Monitoring** - Design, operate, and continuously enhance the firm's trade surveillance program, covering the full spectrum of manipulative and disruptive trading practices including spoofing, layering, wash trading, pre-arranged trading, and banging the close. - Monitor proprietary trading and IB-introduced order flow for compliance with CFTC Regulation 180.1 (anti-manipulation), 180.2 (price manipulation), and applicable DCM rules. - Conduct daily, weekly, and periodic reviews of trading alerts generated by surveillance systems; triage, investigate, and document findings with appropriate escalation. - Maintain comprehensive surveillance logs and investigation records sufficient to demonstrate a robust supervisory system to NFA examiners. - Liaise with FCM and other exchange surveillance departments in response to inquiries, trading halts, and audit trail requests. **Regulatory Compliance — Trading Operations** - Own compliance with audit trail, large trader reporting obligations and ongoing position monitoring. - Monitor and ensure compliance with position limits established FCM across all products traded by the prop desk and IB customers. - Oversee compliance with NFA requirements for trade record-keeping, including order ticket retention, time-stamping, and voice/electronic communication capture. **Best Execution & Order Handling** - Review IB order routing and execution quality to assess adherence to best execution standards and identify potential conflicts of interest or front-running risk. - Monitor algorithmic and automated trading strategies deployed by the prop desk for compliance - Assess pre-trade and post-trade controls, working with the Risk and Technology teams to ensure kill switch functionality and other required risk controls are operational. **Investigations & Escalation** - Conduct thorough investigations of potential trading violations, preparing detailed investigation memoranda with factual findings and recommended disposition. - Escalate significant findings to the CCO and, where required, support regulatory self-reporting determinations. - Participate in NFA examinations and CFTC inquiries relating to trading conduct, preparing supporting documentation and presenting surveillance program capabilities. **Cross-Functional Collaboration** - Partner with teams to deliver proactive compliance guidance on new strategies, markets, and instruments prior to deployment. - Work closely with Business Conduct on shared regulatory matters, firm-wide training, and the annual compliance review. - Collaborate with Technology and Risk on the build-out and ongoing calibration of automated surveillance tooling and alert logic. **QUALIFICATIONS** **Required** - 5+ years of compliance, market regulation, or surveillance experience within a regulated environment (FCM, prop trading firm, IB, DCM market regulation, or DSRO). - Strong technical understanding of futures and options on futures products, market microstructure, and trading mechanics across CME Group, ICE, and other major DCMs. - Working knowledge of anti-manipulation rules, NFA Compliance Rules applicable to trading activity, and DCM Core Principles. - Hands-on experience with trade surveillance systems and alert triage workflows. - Familiarity with CAT reporting, Large Trader Reporting (CFTC Parts 17/18), and CFTC Form 40 obligations. - Series 3 (National Commodity Futures Examination) — active registration required. - Demonstrated ability to conduct and document trading investigations in a regulatory context. **Preferred** - Experience with algorithmic and high-frequency trading compliance, including review of automated strategies and pre-trade risk controls. - Familiarity with swap dealer and compliance obligations. - Experience with Python, SQL, or other data analysis tools for trade data review. - Series 30 (Branch Manager) registration. ### **EEO Statement** > **Equal Employment Opportunity** > My Funded Futures is an equal opportunity employer. We believe that diversity drives innovation and success. We are committed to building an inclusive environment where every team member feels valued, respected, and supported—regardless of race, color, religion, gender, gender identity, sexual orientation, national origin, age, disability, veteran status, or any other protected characteristic. ### **Pay Transparency** > In compliance with pay transparency laws, My Funded Futures provides compensation ranges in job postings where required. Final compensation may vary based on experience, qualifications, and location. We also offer comprehensive benefits and performance-based incentives. ### **Accessibility / Accommodation Statement** > If you require assistance or an accommodation during the application process, please contact our HR team at [careers@myfundedfutures.com.](mailto:careers@myfundedfutures.com) ### ****Work Authorization**** > Applicants must be authorized to work in the applicable country without employer sponsorship. The Company does not offer visa sponsorship or immigration assistance for this position.