Compliance Technology Associate

What You'll Do

• Draft, update, and version-control compliance policies, procedures, and self-certification filings related to system safeguards and electronic trading controls.
• Maintain all documentation required under CFTC Regulations 38.1051 and 39.18, including enterprise risk management, information security, and business continuity program records.
• Track penetration testing, vulnerability testing, and controls testing schedules. Coordinate with engineering to ensure tests are completed on time and findings are documented with clear remediation plans.
• Coordinate annual and special system safeguards reviews and audits conducted by independent third parties, managing logistics, information requests, and follow-up correspondence.
• Act as the primary liaison between Compliance and Technology teams to ensure safeguards documentation accurately reflects current infrastructure and controls.
• Support responses to CFTC examinations, inquiries, and requests for information related to technology and system safeguards matters.
• Monitor CFTC regulatory developments related to technology and system safeguards requirements and flag material changes to the Compliance Technology Lead with a summary of what they mean for our programs.

What We're Looking For

• Direct experience with CFTC regulatory compliance, including familiarity with the filing and documentation requirements imposed on registered DCMs and DCOs.
• Working knowledge of CFTC Regulations 38.1051 and 39.18, including what each regulation requires in terms of documentation, testing schedules, and notification obligations.
• Proven ability to own compliance workflows end-to-end, including audits, gap analyses, and remediation tracking, without significant hand-holding from senior staff.
• Strong written skills. You can produce clean, precise compliance documentation and regulatory filings without a heavy editing pass from your manager.
• Ability to communicate regulatory requirements clearly to engineering and product teams. You can turn a CFTC rule into a concrete ask for a technical audience.
• Comfort working in a fast-moving environment where priorities shift and timelines are tight.
• (Plus) Prior experience working at a DCM or DCO.
• (Plus) Direct experience coordinating third-party system safeguards audits, including managing independent contractor relationships and CFTC correspondence related to audit findings.

Benefits

• Competitive salary & equity
• Unlimited PTO
• Full Health, Vision, & Dental coverage
• 401k match
• Hardware setup: new MacBook Pro, big display, & accessories