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Compliance Officer - Futures

Houston

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk.

Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets.

We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.

As the Futures Compliance Officer you’ll help lead in the oversight of all North American-based futures trading including, surveillance and monitoring, development and enforcement of compliance policies and procedures and provide compliance education and advisory services to internal trading teams. 

What you will do in this role: 

  • Lead the development, implementation and monitoring of compliance policies, procedures and internal controls that comply with all relevant standards of market conduct as it relates to North American-based futures trading
  • Monitor of trade execution and provide compliance oversight of the trade execution function
  • Address day-to-day compliance-related questions regarding trades, trading strategies, the application of technology to trading methodologies, pricing and valuation, and back-office operations
  • Inspect and report on the effectiveness of policies and procedures of department; recommend and implement enhancements and changes as needed
  • Assist in the development of, and conduct surveillance reviews and trade desk audits
  • Liaise with futures designated contract markets and regulatory agencies
  • Manage and direct special compliance projects such as due diligence reviews or new product initiatives
  • Track relevant regulatory and trading developments and provide impact assessments
  • Assist in the ongoing enhancement and implementation of compliance training programs

What is needed for this role:   

  • 15+ years of commodity markets compliance experience required, specifically focused on derivatives
  • Must have strong knowledge of Dodd-Frank and U.S. Futures regulation
  • Experience at a trading firm, exchange or regulator preferred
  • Ability to effectively communicate at all levels within the organization
  • Must have strong business acumen and the analytical and problem-solving skills necessary to identify trends and root issues, and to recommend solutions that support the company’s business objectives
  • Must have strong organizational and presentation skills and a professional demeanor
  • Must have excellent written and verbal communication skills
  • Bachelor’s degree required

For more information about DRW's processing activities and our use of job applicants' data, please view our Privacy Notice at https://drw.com/privacy-notice.

California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice.

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