Director of Broker Operations – Futures Commission Merchant (FCM)

HYBRID ROLE – Director of Broker Operations – Futures Commission Merchant (FCM)

To be considered for an interview, please make sure your application is full in line with the job specs as found below.
Sweater weather is delightful, but not as delightful as this new high-paying opportunity!
The salary range for this position is $190,000-$215,000 plus bonus, and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this role please send your resume to
Job DescriptionServe as the firm's Principal and Associated Person (AP) under NFA/CFTC registrationWrite and maintain the firm's Written Supervisory Procedures (WSPs)Oversee all regulatory programs, including AML/KYC, trade surveillance, financial reporting, and business continuity planningWork with our clearing FCM(s) to make sure give-up agreements, data feeds, and workflows meet compliance standardsPartner with the FINOP on Form 1-FR-IB filings and annual auditsPartner with the CCO to manage NFA examinationsDesign the operational backbone of a retail-facing futures broker, including account onboarding, trade reconciliation, and customer serviceSelect, integrate, and manage clearing interfaces, OMS/EMS platforms, compliance systems, and back-office automationHire and lead an operations team that can support thousands of active accountsWork with the FINOP to stay compliant with CFTC Regulation 1.10 financial and net capital requirementsMaintain strong reconciliation, segregation, and reporting procedures for customer transactionsOwn the firm's risk and control framework across operational and financial exposuresContribute to educational and promotional content that complies xzbcwsv with NFA Rule 2-29
Qualifications: 10+ years in brokerage operations, ideally from a NFA/CFTC-regulated IB or a FINRA-regulated broker-dealerDeep knowledge of CFTC and NFA compliance and audit processesSeries 3 and Series 30 licenses – must haveBachelor's degree
To apply to this role please send your resume to
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