# US Compliance Officer

> LMAX Group · New York, United States (Hybrid) · — · Posted 2026-06-02

**Workplace:** hybrid

**Department:** Compliance

## Description

We are seeking a hands-on US Compliance Officer to drive and support the build-out of our US regulatory presence. This role is ideal for an experienced compliance professional who is comfortable operating at both strategic and execution levels.

You will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential:

-   Digital asset licenses including: NYDFS BitLicense application

-   CFTC SEF (Swap Execution Facility) registration
-   CFTC Digital Commodity Exchange framework (subject to legislative developments)

This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.

**The US Compliance Person is responsible for:**

**Regulatory Strategy & Licensing**

-   Lead and support US regulatory strategy across derivatives and digital assets
-   Manage and contribute to licensing processes, including:

CFTC SEF registration

NYDFS Bit License application

Potential CFTC Digital Commodity Exchange authorisation

-   Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others)

**Policy & Framework Development**

-   Draft, implement, and maintain compliance policies and procedures including:

Market conduct and surveillance

AML/KYC and financial crime controls

Trade and transaction reporting

Governance and internal controls

-   Ensure alignment with both US frameworks and existing UK/Singapore regulatory obligations

**Execution & Operations**

-   Support day-to-day compliance operations across US-related activities
-   Build and implement regulatory reporting processes (CFTC, NFA, state regulators)
-   Establish and oversee monitoring, surveillance, and control frameworks
-   Assist with onboarding processes and client due diligence

**Cross-Border Coordination**

-   Work closely with compliance, legal, and operations teams in the UK and Singapore
-   Ensure consistency in global compliance standards while adapting to US regulatory requirements

**Regulatory Change & Advisory**

-   Monitor US regulatory developments (including digital asset legislation)
-   Advise senior management on regulatory risks and strategic opportunities
-   Translate regulatory developments into actionable internal changes

**Salary Range:** $**150,000 -** $**250,000**

## Requirements

**Experience**

-   5 –12+ years of experience in financial services compliance, preferably within:
-   Digital Assets, trading venues (SEF, MTF, exchanges) FX or derivatives,
-   Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred)
-   Experience in licensing processes (SEF, BitLicense, ATS, or similar)

**Technical Knowledge**

-   Strong understanding of:
-   CFTC regulatory framework (especially SEFs and swaps)
-   US market structure for derivatives and/or digital assets
-   rade reporting, market surveillance, and compliance controls
-   Familiarity with cross-border regulatory frameworks (UK FCA, MAS) is a plus

**Working Style**

-   Highly hands-on and execution-oriented
-   Comfortable working in a lean, entrepreneurial environment
-   Ability to move between strategy and detailed implementation
-   Strong drafting skills (policies, procedures, regulatory submissions)

**Personal Attributes**

-   Proactive, pragmatic, and solutions-oriented
-   Strong communicator with ability to engage regulators and internal stakeholders
-   Comfortable building from scratch in a developing regulatory environment

## Benefits

-   25 days of holiday (PTO) 
-   Bonus 
-   Pension: 401K 
-   Private medical, dental, and vision coverage 
-   Life insurance 
-   TriNet Platform 
-   Wellness contribution program with access to ClassPass 
-   Plumm Platform 
-   Five volunteering days

## Apply

[Apply at LMAX Group](https://apply.workable.com/lmax/j/67C92B4C5B/apply)

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