Compliance Officer - Business Conduct

The Compliance Officer - Business Conduct will be responsible for making sure that how the firm markets, sells, communicates, and treats its customers holds up to legal, regulatory, and internal standards. This role owns the conduct side of compliance: advertising and performance claims, affiliate and influencer activity, sales and support practices, customer disclosures, complaint handling, conflicts of interest, and trader conduct standards.

Reporting to the Chief Compliance Officer, the Compliance Officer will design, implement, and manage a business conduct program that keeps the firm's commercial engine moving quickly without creating consumer protection, advertising, or reputational exposure. This leader will partner with marketing, growth, product, trading operations, risk, and legal to embed conduct standards into daily processes rather than bolt them on after launch.

Key Responsibilities

Business Conduct Program

• Own the MyFundedFutures business conduct program, including the code of conduct, conflicts of interest policy, personal trading, and handling of confidential or material non-public information.
• Establish written policies, monitoring routines, and escalation paths that are proportionate to the firm's size and pace.
• Serve as the internal point of contact for conduct questions from employees, contractors, and partners.
• Partner with People Operations on conduct-related investigations and disciplinary outcomes.

Marketing, Advertising, and Claims Review

• Own the review and approval process for marketing and sales content across paid media, organic social, email, web, and in-product messaging.
• Set standards for performance, payout, and earnings claims, including substantiation requirements, source documentation, and required disclosures.
• Build a compliant framework for testimonials, endorsements, and user-generated content consistent with FTC endorsement and advertising guidance.
• Establish and police the rules of the road for affiliates, influencers, and referral partners: contractual conduct terms, prohibited claims, disclosure requirements, monitoring, and enforcement including offboarding.

Customer-Facing Practices and Disclosures

• Review customer-facing terms, plan descriptions, rules of engagement, fee schedules, and promotional terms for clarity, accuracy, and consistency with actual practice.
• Set standards for how rule changes, plan changes, and pricing changes are communicated to existing customers.
• Review billing, refund, cancellation, and discount practices for fairness and consistency, and work with finance and support on chargeback and dispute patterns.
• Set conduct standards and review protocols for onboarding, and support communications, including scripts, macros, and chat responses.

Complaints, Escalations, and Inquiries

• Build and operate a centralized complaint intake, logging, triage, and resolution process with defined ownership and turnaround expectations.
• Perform root cause analysis on complaint trends and drive corrective action into product, marketing, and support.
• Manage responses to consumer protection inquiries, regulator correspondence, platform and processor inquiries, and reputational escalations in coordination with legal and external counsel.
• Track remediation to completion and document outcomes.

Trader Conduct and Account Integrity

• Maintain trader conduct standards covering prohibited practices, account sharing, coordinated or collusive activity, misuse of platform latency or pricing, and misrepresentation during onboarding.
• Partner with risk and trading operations on detection, review, and enforcement, and make sure enforcement decisions are documented, consistent, and defensible.
• Own the appeals and review process for conduct-based account actions.
• Maintain AML, KYC, sanctions screening, and prohibited jurisdiction controls, and coordinate with fraud on identity and payment abuse.

Compliance by Design

• Partner with engineering, UX, and product to embed disclosure, recordkeeping, and consent requirements into user flows before launch rather than after.
• Set requirements for customer data protection, retention, and marketing consent, including outbound communication rules under CAN-SPAM, TCPA, and applicable state privacy laws.
• Maintain a conduct risk register for new products, plans, promotions, and platform features, including emerging areas like API access, automated trading, and new geographies.

Monitoring, Testing, and Reporting

• Design and run a testing and surveillance program covering advertising claims, affiliate activity, customer communications, and enforcement consistency.
• Track regulatory and enforcement developments in advertising, consumer protection, and the retail trading space, and translate them into practical changes to firm practice.
• Conduct internal reviews and investigations, document findings, and drive remediation.
• Report conduct risks, complaint trends, testing results, and open remediation items to the Chief Compliance Officer and, as appropriate, to the CEO and Board.
• Build and deliver conduct and marketing compliance training across the company, with role-specific content for marketing, growth, sales, and support.

Qualifications

• Bachelor's degree in Finance, Economics, Law, Business, or a related field required; advanced degree (JD, MBA, or LLM) preferred.
• 7+ years of experience in compliance, regulatory, legal, or risk roles, with meaningful time spent on advertising review, sales practices, or consumer-facing conduct.
• Working knowledge of advertising and consumer protection standards, including FTC guidance on endorsements, testimonials, and substantiation of performance claims.
• Familiarity with the futures and derivatives landscape and how retail trading products are marketed and sold.
• Demonstrated success building conduct or marketing review programs in a fast-moving, growth-oriented environment.
• Strong understanding of AML and KYC requirements, data governance, and customer communication rules.
• Practical judgment and the ability to give clear, fast answers to commercial teams instead of blanket no's.
• Comfort operating with limited infrastructure and building the process while running it.

Preferred Experience

• Prior compliance or conduct experience at a proprietary trading firm, brokerage, trading education company, fintech, or another business with performance-based marketing exposure.
• Experience managing affiliate, influencer, or partner networks from a compliance perspective.
• Experience with paid media review at scale and with creative approval workflows.
• Exposure to trade surveillance concepts, trading platform mechanics, or algorithmic and automated trading behavior.
• CAMS, CCEP, CRCM, or similar certification is a plus.
• Experience with compliance, archiving, or surveillance tooling such as Actimize, NICE, Smarsh, Global Relay, or similar.