Senior Compliance Manager - FCM

Senior Compliance Manager - FCM

Our client, a leading Futures Commission Merchant (FCM), is seeking a Senior Compliance Manager to drive regulatory compliance, oversee policies and procedures, and strengthen the firm’s operational risk framework. This high-impact role requires an experienced compliance professional with deep knowledge of futures regulations and a strong ability to manage regulatory inquiries and examinations.

This is an opportunity to take on a leadership role within a top-tier FCM firm committed to integrity, risk management, and regulatory excellence and where you will receive a competitive salary, bonus, and generous benefits.

Please note this is an onsite position at the client’s New York office.

Key Responsibilities:

• Regulatory Oversight: Ensure the firm’s compliance with all CFTC, NFA, and SEC regulations, maintaining strong relationships with regulators and responding effectively to inquiries, audits, and examinations.
• Policy & Procedure Management: Develop, implement, and refine compliance policies, procedures, and internal controls to mitigate regulatory risks and align with evolving industry standards.
• Operational Risk Management: Oversee the firm’s operational risk framework, identifying compliance gaps, conducting internal reviews, and leading initiatives to enhance risk mitigation efforts.
• Compliance Strategy & Advisory: Serve as a trusted advisor to senior leadership, providing guidance on compliance matters, regulatory developments, and best practices to ensure ongoing adherence to industry regulations.
• Collaboration & Stakeholder Engagement: Work closely with legal, risk, and operations teams to embed compliance within the firm’s business strategy while maintaining an effective compliance culture.

Qualifications:

• 10 years of experience in futures regulatory compliance at an FCM, broker-dealer, or other financial institution.
• Expertise in CFTC, NFA, and SEC regulatory frameworks, including experience managing regulatory audits and inquiries.
• Strong analytical skills with the ability to assess compliance risks and develop effective solutions.
• Excellent communication and leadership abilities, capable of influencing senior stakeholders and regulators.
• Please note this is an onsite position working at the client’s NY office.
• Please note that the employer will not sponsor applicants for work visas.

No recruiter represented or third party candidate submissions will be accepted. Any unsolicited resumes/candidate profiles submitted will not be considered are not subject to payment of agency fees