Regulatory Compliance SME - Risk & Regulatory Controls (CFTC) (h/f)

Regulatory Compliance SME - Risk & Regulatory Controls (CFTC)

London (Hybrid) x3 Days on-site

£700-800

emagine is a high-end professional services consultancy and solutions firm Specialising in providing business and technology services to the financial services sector, we power progress, solve challenges and deliver real results through tailored high-end consulting services and solutions.

We have created a culture of openness and integrity by building genuine and strong relationships and partnerships, enabling us to be uncompromising in our dedication in delivering the optimal service for our clients. Our commitment is not just towards our clients but we aim to foster a positive and equitable working environment with our consultants and colleagues which stems from our core values: Confident, Dedicated, Responsible, Genuine.

We are seeking an experienced and delivery-focused US Regulatory Compliance SME to manage and execute core compliance processes across our operations with a specific focus on CFTC, SEC, and NFA obligations.

This role is responsible for the hands-on delivery of key regulatory tasks, including regulatory reporting, personnel certifications, compliance questionnaires, and control monitoring. Working closely with compliance, operations, and legal teams, the role ensures the business consistently meets its US regulatory requirements through well-structured, timely, and auditable processes.

The Role:

• Lead the execution of regulatory compliance tasks under CFTC, SEC, and NFA frameworks, ensuring timely delivery and adherence to requirements.

• Coordinate and manage regulatory submissions and certifications for relevant personnel, including onboarding, role designation, and ongoing notifications.

• Administer licensing and registration processes, ensuring accurate and timely submissions to US regulatory bodies.

• Manage compliance attestations and exemption questionnaires, including CFTC-related surveys and other mandated disclosures.

• Maintain and enhance the operational compliance control framework, ensuring all manual controls (trackers, spreadsheets) are current, monitored, and ultimately streamlined or automated.

• Collaborate with US-based compliance and regulatory teams to support ongoing regulatory developments and drive execution of new requirements.

• Monitor and remediate control or process gaps, ensuring continuous improvement of compliance operations and risk mitigation.

• Support documentation and audit readiness, including regulator or internal audit responses and data requests.

• Drive process improvements in reporting, certification, and control oversight, reducing operational risk and increasing efficiency.

• Contribute to internal reporting, including updates to senior stakeholders and board-level summaries.

Key Skills and Experience:

To succeed in this role, you will need:

• Strong hands-on experience delivering regulatory compliance tasks under CFTC, SEC, and NFA requirements.

• Proven track record in managing regulatory submissions, licensing, and personnel certification processes within a US-regulated financial institution.

• Familiarity with swap dealer and security-based swap dealer regulatory obligations.

• Experience managing compliance tracking tools and workflows, particularly spreadsheets, trackers, and SharePoint-based systems.

• Ability to identify, escalate, and remediate compliance control issues effectively and efficiently.

• Strong cross-functional coordination skills across compliance, legal, operations, and risk teams.

• Clear, concise documentation and communication abilities for regulatory reporting and internal governance.

• Experience supporting regulatory audits, exams, and compliance governance forums.

• A proactive, execution-led approach with the ability to thrive in a fast-paced, high-accountability environment.

Interested?

At emagine, we are committed to building an international and diverse team by embracing our different backgrounds.

If you are up to the challenge and would like to find out more, get in touch with us immediately, our internal recruitment team is always keen to hear from dynamic individuals that are looking to further their career and explore their full potential.

emagine is an equal opportunity employer, and employment practices are based strictly on merit. It is the policy of the Company to give equal opportunity in employment regardless of sex, sexual orientation, marital status, race, age, disability, gender reassignment, pregnancy and maternity, religion or ethnic origin