Sr. FCM Advisor Compliance Officer

Sr. FCM Advisor Compliance Officer

New York, NY – Onsite

About The Role:

Seeking a Senior FCM Compliance Officer to provide real-time compliance advisory support to FCMs, IBs, GIBs, and Swap Dealers. The role primarily focuses on providing real-time compliance advisory services.

What You’ll Do:

• Provide FCM compliance advisory support to Front Office and Desk Heads.
• Manage regulatory filings, inquiries, and relationships for the U.S. FCM business.
• Draft, review, and maintain FCM Policies, Procedures, and WSPs.
• Advise on FCM business and compliance questions.
• Review new products, markets, and initiatives for regulatory compliance.
• Coordinate Compliance Calendar requirements and deadlines.
• Ensure compliance with SEC, FINRA, NFA, CFTC, and exchange regulations.
• Follow operational risk, conduct, and internal compliance requirements.
• Escalate policy breaches and risk events promptly.
• Support risk management processes and regulatory obligations.

What We’re Looking For:

• Bachelor’s degree in Finance, Economics, Business, or related field required.
• 3+ years of practical experience in this type of role.
• Curious, resilient, adaptable, and proactive.
• Strong communication, relationship-building, and influencing skills.
• High integrity, sound judgment, and professional conduct.
• Collaborative team player with strong organizational and prioritization skills.
• Strategic thinker with strong problem-solving and business insight.
• Understanding of financial markets and regulated environments.
• Financial markets compliance experience required.
• Strong data analysis and interpretation skills.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Excellent verbal and written communication skills.
• Strong time management and ability to manage multiple priorities.

OOJ-1489G