Compliance Manager FCM
Posted Updated 5
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You will build and own the FCM compliance program, maintain written supervisory procedures, conduct gap analyses against CFTC and NFA requirements, coordinate responses to regulatory inquiries, monitor regulatory developments, support examinations and filings, and work with trading, operations, and legal stakeholders.
Responsibilities
- Build and own the FCM compliance program
- Maintain written supervisory procedures across trading and operations
- Conduct gap analyses against CFTC and NFA requirements
- Draft and update compliance policies and procedures
- Coordinate responses to NFA and CFTC inquiries
- Monitor CFTC and NFA regulatory developments
- Support exam preparation, internal reporting, and regulatory filings
- Work with trading, operations, and legal to align the compliance program with business operations
Requirements
- Direct compliance experience at a CFTC-registered FCM
- Working knowledge of CFTC and NFA rules
- Experience drafting written supervisory procedures
- Ability to work independently and make sound judgments
- Clear written communication
- Experience managing an NFA or CFTC examination or formal inquiry is a plus
Benefits
- Competitive salary and equity
- Unlimited PTO
- Full health, vision, and dental coverage
- 401(k) match
- New MacBook Pro, display, and accessories