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We are seeking a detail oriented individual with prior experience in the drafting, development and revision of policies and procedures manuals for a financial institution.The policies and procedures will document a financial institution’s internal controls and their governance, in order to comply with the regulatory requirements and expectations of the Commodity Futures Trading Commission (CFTC). The policies and procedures will form a critical part of the financial institution’s application to become a Designated Contract Market (DCM) and/or a Derivatives Clearing Organization (DCO) with the CFTC.

The ideal candidate will have a strong background in regulatory compliance, risk management.. They are able to understand technical processes to develop into documented policies and procedures that will meet CFTC requirements.A preferred candidate would have experience workingwithin the financial services industry, with a preferred focus on the financial futures markets, derivatives, swaps, and options.

Key Responsibilities:

• Draft, revise, and finalize policies and procedures in support of the CFTC application process (e.g., DCM, DCO, SEF, or FCM registration).
• Ensure developed documentation aligns with CFTC regulations (e.g., CEA, CFTC Part 1–49 rules) and applicable NFA guidance.
• Translate complex client processes and CFTC regulatory requirements and expectations into clear and actionable internal policies and procedures documentation for operational, IT and compliance teams of the client.
• Work with legal, compliance, risk, operations, and technology teams to document processes, collect inputs and accurately reflect a firm’s business practices.
• Maintain consistency and alignment across all developed policies and procedures documentation, manuals, and regulatory exhibits.
• Track and implement updates to developed policies and procedures based on either client or CFTC feedback or evolving regulatory requirements and expectations throughout the CFTC application process.
• Provide version control and documentation audit trail for regulatory submission.
• Collaborate with external counsel and consultants to ensure completeness and accuracy of the submitted documents.

Qualifications:

• Bachelor’s degree in Finance, Economics, Public Policy or related field (advanced degree in financial services regulatory law, a plus).
• 5+ years of professional writing experience, preferably in financial services and regulatory compliance.
• Strong understanding of CFTC regulations and expectations, especially those related to registration, risk management, compliance, IT and governance.
• Prior experience supporting regulatory submissions to Federal regulators or industry Self-Regulatory Organizations (i.e., CFTC, SEC, NFA, FINRA, etc.) strongly preferred.
• Exceptional writing, editing, and document organization skills.
• Ability to work independently under tight deadlines and managing multiple priorities.

Preferred Experience:

• Experience preparing or supporting DCM, DCO, SEF, or FCM registration applications.
• Working knowledge of key areas such as trading risk management, regulatory compliance, systems operational capability and capacity, cybersecurity protocols, business continuity planning and AML/KYC.
• Background in regulated futures, derivatives and/or commodities trading environments.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Marketing, Public Relations, and Writing/Editing

• Industries

  Business Consulting and Services

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