What are the responsibilities and job description for the Part Time Compliance Officer position at Ulysses?
Company Description
Ulysses Commodities LLC is a registered Introducing Broker with the CFTC and a member of the NFA. The company is dedicated exclusively to the institutional commodities community, serving Eligible Contract Participants (ECPs) as defined by the Commodity Exchange Act. We focus on providing exceptional services to our clients in the commodities market.
We are seeking an experienced part-time compliance consultant with direct knowledge of National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) regulations, specifically as they apply to Introducing Brokers (IBs) and related registration and oversight requirements.
You will play a key role in helping us maintain regulatory compliance, manage documentation, navigate audits and filings, and ensure sound policies are in place for our derivatives and futures activities.
⸻
✅ Responsibilities
• Oversee and advise on compliance with CFTC and NFA requirements for an Introducing Broker
• Prepare, review, and update Written Supervisory Procedures (WSPs)
• Manage or advise on registration filings (Forms 7-R, 8-R, 3-R) and ongoing NFA obligations
• Support annual self-examinations, attestations, and audit readiness
• Assist with AML/KYC policy updates, ethics training, and recordkeeping best practices
• Provide guidance on disclosures, customer agreements, promotional material reviews
• Be a trusted partner for emerging compliance questions related to derivatives, swaps, FCM interactions, and market structure
⸻
🎯 Ideal Experience
• Former NFA examiner, CFTC staffer, or compliance officer at an IB, FCM, or CTA
• Minimum 5 years of experience in commodities/futures regulation
• Proven experience preparing for and responding to NFA audits or inquiries
• Familiarity with AML, CFTC Reg. 1.55, Reg. 1.11, Cybersecurity guidance, etc.
• Strong writing and organizational skills; experience with compliance documentation and regulatory correspondence
⸻
💡 Bonus Qualifications
• JD, Series 3, CPA, or other relevant licenses
• Experience with swap dealer compliance or SEF interactions
• Experience supporting startup or boutique financial firms
⸻
⏱ Commitment & Compensation
• 10-20 hours/month, with flexibility based on projects and regulatory cycles
• Compensation negotiable based on experience and scope
• Remote-friendly and open to consultants with other clients, as long as there’s no conflict of interest