Compliance Manager – Examinations & Regulatory Governance

Job not on LinkedIn

🔥 10 minutes ago

🏖️ New Jersey – Remote

🏖️ New Jersey – Remote

💵 $140k - $170k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Sporttrade

WebsiteLinkedInAll Job Openings

11 - 50 employees

Founded 2017

🎲 Gambling

👥 B2C

💳 Fintech

💰 $36M Funding Round on 2021-06

Gambling • B2C • Fintech

Sporttrade is a sports betting marketplace that allows users to place, track, and sell their bets in real-time. Unlike traditional sportsbooks, Sporttrade uses a unique probability-based system rather than American odds, enabling bettors to easily understand the value of their bets. With multiple market makers competing for the best prices, Sporttrade offers a more refined betting experience through a modern interface designed for seamless betting. The platform aims to provide high limits and exceptional prices, catering to serious bettors over the age of 21.

📋 Description

• Conduct risk-based reviews and examinations of market participants, including Futures Commission Merchants (FCMs) and other intermediaries. • Assess participant compliance with applicable regulatory requirements, including supervisory and risk management frameworks (e.g., CFTC Regulation 1.11 and National Futures Association Rule 2-9). • Evaluate internal controls, governance structures, and escalation procedures of participants. • Identify compliance deficiencies and recommend corrective actions. • Maintain documentation of examination findings and follow-up activities. • Oversee compliance standards and requirements for onboarding new participants. • Ensure appropriate documentation, certifications, and representations are obtained and maintained. • Monitor ongoing participant obligations and periodic attestations. • Coordinate with internal stakeholders to ensure consistent application of eligibility and compliance standards. • Manage updates to the Exchange rulebook, compliance manual, and related policies and procedures. • Coordinate internal and external review of rule changes, including regulatory submissions where applicable. • Administer participant certifications and acknowledgments related to rulebook adherence. • Ensure policies and procedures are reviewed and updated on at least an annual basis. • Oversee the Exchange’s audit trail review program to ensure completeness, accuracy, and retrievability of required records. • Conduct periodic and annual reviews of audit trail data and associated controls. • Coordinate with surveillance and technology teams to address data integrity issues. • Ensure compliance with applicable recordkeeping requirements. • Coordinate preparation of regulatory reports and filings to the CFTC and other applicable regulators. • Support development of materials for the Board of Directors and Regulatory Oversight Committee (ROC). • Maintain documentation supporting compliance with applicable Core Principles. • Assist in preparation of the CRO Annual Compliance Report. • Maintain and enhance the Exchange’s overall compliance framework. • Ensure alignment between written policies and actual practices. • Track regulatory developments and assess impact on Exchange rules and procedures. • Support internal training and awareness related to compliance obligations.

🎯 Requirements

• Proven experience in exchange compliance, FCM oversight, regulatory examinations, or similar roles within derivatives markets. • Strong working knowledge of the CFTC regulatory framework, Core Principles, and FCM supervisory requirements. • Direct experience with regulatory reporting, rulebook governance, and the development of complex compliance policies. • Ability to apply a risk-based approach to oversight with strong judgment and independence in assessing regulatory matters. • Strong analytical, organizational, and documentation skills. • Exceptional communication skills with the ability to engage effectively with internal stakeholders and regulators. • Experience in sports trading or prediction markets (Nice to Have)

🏖️ Benefits

• Medical, Dental, and Vision Benefits: Company pays 100% Employee premium and 50% Spouse & Dependent premiums • Short- & Long-Term Disability; Group Term Life and AD&D; Voluntary Life and AD&D • 401(k) Plan • Flexible time off • MacBooks issued to all employees