Trading & Regulatory Oversight Manager
Location: Indianapolis, IN Entity: AI Capital, LLC Reports To: Chief Investment Officer
Position Summary
The Trading & Regulatory Oversight Manager will serve as the internal, fully licensed supervisory authority for AI Capital’s trading operations, investor suitability processes, and NFA/CFTC/SEC regulatory obligations.
The individual in this role will work closely with the Chief Investment Officer, Quantitative Research team, Fund Operations, and Compliance to supervise trading activity, validate alignment with fund mandates, ensure adherence to NFA rules, and support the ongoing development of the firm’s algorithmic and AI-driven trading programs. This is a mission-critical position as AI Capital scales to multiple funds and higher AUM, requiring a blend of regulatory expertise, analytical capability, and operational maturity.
Key Responsibilities
Serve as the internal Series 3/7 licensed principal.
Review and approve daily trades executed through MetaTrader4 and algorithmic systems for compliance with fund strategy parameters and regulatory rules.
Coordinate closely with the Quant Research Lead to ensure models, signals, and automated execution logic comply with NFA/CFTC expectations.
Maintain and document supervisory procedures for trade reviews, exception handling, and escalation protocols.
Lead the preparation, submission, and monitoring of all NFA/CFTC filings, updates, and regulatory reporting requirements.
Support onboarding reviews of new investors by validating suitability in conjunction with Compliance and Fund Operations.
Participate in the testing and rollout of new trading models and automated execution strategies, ensuring robust controls and appropriate documentation.
Maintain ongoing continuing education and update leadership on regulatory changes affecting CTA, CPO, or managed account structures.
Collaborate with Compliance Analyst to ensure cohesive audit trails between trade systems, AML/KYC records, and fund operations documentation.
Serve as a point of contact for regulatory bodies, auditors, and external legal counsel during reviews or inquiries.
Qualifications & Competencies
Active Series 3 & 7 license (required); Series 34 or Series 66 a strong plus.
4–7 years of experience in commodities, FX trading, fund operations, regulatory supervision, or related fields.
Familiarity with CTA/CPO structures, trading rules, and risk management expectations under NFA and CFTC.
Knowledge of algorithmic trading systems, automated order routing, and trade surveillance tools.
Strong analytical skills and ability to interpret model behavior, exceptions, and anomalies.
Excellent communication skills and ability to translate regulatory requirements into operational workflows.
High level of integrity, independence, and judgment in supervisory decisions.
Ability to work in cross-functional teams with Quant, Operations, and Compliance stakeholders.
Systems / Tools Used
MetaTrader4 | Juniper Square | Allvue | NetSuite OneWorld | Persona | ComplyAdvantage
Compensation & Reporting
Base Salary: $145,000 – $170,000 DOE
Bonus Target: 20%–25% based on accuracy, regulatory readiness, and audit outcomes
Reports To: CFO
Interested candidates should send resume to Andy De La Cruz, Head of HR at andy.delacruze@salesai.com.
