Futures Regulatory Compliance Manager (NYSE Listed Fintech)

Futures Regulatory Compliance Manager (NYSE Listed Fintech)

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The roleWhen a regulator calls, you’re the person the business turns to. This is a hands-on seat at the centre of a US futures and derivatives business, owning regulatory exams, investigations and inquiries from first request to final remediation. You’ll be the go-to contact for the CFTC, NFA and the major futures exchanges, and you’ll brief the CCO and senior leadership directly.
What you’ll doRun the regulatory agendaLead responses to exams, investigations, audits and information requests across trading, clearing, margin, collateral, segregation and books and recordsPull together Operations, Risk, Technology, Finance, Legal and the business to deliver complete, accurate responses on deadlineOwn the exam logs, correspondence and trackers, then drive remediation plans and corrective actions from any findingsRun internal investigations into potential CFTC, NFA, exchange or firm rule breachesBe the compliance voice in clearing and operationsAdvise on the full futures trade lifecycle, from order entry through settlement, including margin, positions, reconciliations and customer protectionChallenge and strengthen operational controls, exception handling and escalationWeigh in on new products, exchange connectivity, clearing and carrying relationships, and regulatory change projectsKeep the market conduct lens sharpPartner with surveillance on potential spoofing, layering, wash trading, disruptive practices and position limit issuesSupport inquiries involving order-level and trade-level activity, and help test whether surveillance scenarios are workingStay ahead of enforcement priorities and recommend improvements to the supervisory frameworkStay ahead of the rulesTrack CFTC, NFA and exchange developments, assess their impact and guide implementationMaintain policies, WSPs and control frameworks, and contribute to risk assessments and testingWork with AML on futures customer activity, due diligence, sanctions and suspicious activity escalationTrain and advise colleagues, and help build a culture where people escalate early
What you bring5+ years in compliance, regulatory or supervisory roles with real futures and derivatives depthHands-on experience inside an FCM, clearing firm, exchange, regulator, or a financial institution with substantial futures operationsProven track record managing or materially supporting exams, investigations and regulatory requestsStrong command of the CFTC, NFA and exchange rulebooks, customer protection and segregation, and the clearing lifecycleWorking knowledge of trade surveillance, market conduct and disruptive trading rulesExperience coordinating complex, multi-team regulatory responses under pressureThe xzbcwsv communication skills to explain complex regulatory issues to senior leaders and non-compliance colleaguesLicences: Series 7 and Series 24 required; Series 3 strongly preferred; Series 4 preferred
Bonus pointsTime spent at, or working closely with, the CFTC, NFA or a major exchangeFCM customer clearing experience, including omnibus or affiliate clearing arrangementsExperience reconstructing order and trade activity for surveillance or investigationsFamiliarity with position limits, large trader reporting and exchange reportingExposure to algorithmic or high-volume electronic trading, or cross-market surveillanceExperience in a multinational organisation
What’s on offerCompetitive base plus performance bonusHealth, dental and retirement benefitsGenuine room to grow in a collaborative, fast-moving environmentacted.