Futures Regulatory Compliance Manager (NYSE Listed Fintech)

Futures Regulatory Compliance Manager (NYSE Listed Fintech)

The role

When 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 do

Run the regulatory agenda

• Lead responses to exams, investigations, audits and information requests across trading, clearing, margin, collateral, segregation and books and records
• Pull together Operations, Risk, Technology, Finance, Legal and the business to deliver complete, accurate responses on deadline
• Own the exam logs, correspondence and trackers, then drive remediation plans and corrective actions from any findings
• Run internal investigations into potential CFTC, NFA, exchange or firm rule breaches

Be the compliance voice in clearing and operations

• Advise on the full futures trade lifecycle, from order entry through settlement, including margin, positions, reconciliations and customer protection
• Challenge and strengthen operational controls, exception handling and escalation
• Weigh in on new products, exchange connectivity, clearing and carrying relationships, and regulatory change projects

Keep the market conduct lens sharp

• Partner with surveillance on potential spoofing, layering, wash trading, disruptive practices and position limit issues
• Support inquiries involving order-level and trade-level activity, and help test whether surveillance scenarios are working
• Stay ahead of enforcement priorities and recommend improvements to the supervisory framework

Stay ahead of the rules

• Track CFTC, NFA and exchange developments, assess their impact and guide implementation
• Maintain policies, WSPs and control frameworks, and contribute to risk assessments and testing
• Work with AML on futures customer activity, due diligence, sanctions and suspicious activity escalation
• Train and advise colleagues, and help build a culture where people escalate early

What you bring

• 5 years in compliance, regulatory or supervisory roles with real futures and derivatives depth
• Hands-on experience inside an FCM, clearing firm, exchange, regulator, or a financial institution with substantial futures operations
• Proven track record managing or materially supporting exams, investigations and regulatory requests
• Strong command of the CFTC, NFA and exchange rulebooks, customer protection and segregation, and the clearing lifecycle
• Working knowledge of trade surveillance, market conduct and disruptive trading rules
• Experience coordinating complex, multi-team regulatory responses under pressure
• The communication skills to explain complex regulatory issues to senior leaders and non-compliance colleagues
• Licences: Series 7 and Series 24 required; Series 3 strongly preferred; Series 4 preferred

Bonus points

• Time spent at, or working closely with, the CFTC, NFA or a major exchange
• FCM customer clearing experience, including omnibus or affiliate clearing arrangements
• Experience reconstructing order and trade activity for surveillance or investigations
• Familiarity with position limits, large trader reporting and exchange reporting
• Exposure to algorithmic or high-volume electronic trading, or cross-market surveillance
• Experience in a multinational organisation

What’s on offer

• Competitive base plus performance bonus
• Health, dental and retirement benefits
• Genuine room to grow in a collaborative, fast-moving environment

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