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• Drive execution and tracking of key deliverables across the compliance department and provide updates to the CCO
• Administer the compliance case management system (complaints, marketing approvals, exceptions, regulatory inquiries)
• Maintain organized compliance inventories (policies, procedures, regulatory mapping, attestations)
• Build and maintain compliance dashboards and metrics (complaints, promotions, audit results, filings, training completion) and report on metrics aligned to department and company goals
• Own and maintain the compliance regulatory calendar (e.g., NFA questionnaires, CFTC filings, audits, annual certifications)
• Coordinate regulatory reporting calendars and assist in preparing CCO reports to senior management and executives
• Run core team cadences (e.g., weekly meetings, planning cycles, retrospectives)
• Identify process gaps, bottlenecks, or inefficiencies in compliance operations and implement scalable solutions to improve efficiency and control effectiveness
• Monitor progress on issue tracking, remediation follow-up, and escalation
• Serve as project manager for cross-functional initiatives involving Marketing, Finance, HR, and Security
• Champion adoption of compliance technology and automation
• Provide decision-support to the CCO through analysis, prep, and coordination across functions
• Support compliance team onboarding, training, and engagement initiatives

What you’ll need:

• Bachelor’s degree
• 4+ years of experience in compliance operations, legal operations, audit, or risk management in fintech, brokerage, banking, or other regulated industries
• Experience with NFA and CFTC compliance obligations strongly preferred
• Experience building compliance dashboards or regulatory reports
• Strong understanding of compliance domains such as AML/BSA, CFTC, or NFA
• Proficient in workflow and knowledge management tools (e.g., Salesforce, Monday, JIRA)
• Excellent organizational and project management skills
• Detail-oriented with ability to juggle multiple priorities and manage complex operational programs
• Strong communicator, able to translate compliance metrics into clear narratives for executives