Compliance Manager

This is a fully remote position, open to applicants in New York.

📋 Description

• Develop and oversee the FCM compliance program, ensuring that written supervisory procedures for trading and operations are up-to-date as CFTC and NFA regulations change.

• Perform continuous gap analyses against CFTC and NFA standards, presenting findings to the CCO along with actionable recommendations.

• Create, maintain, and revise compliance policies and procedures in alignment with business growth and evolving regulatory requirements.

• Act as the main point of contact for inquiries from the NFA and CFTC, facilitating internal documentation and guaranteeing that responses are precise, thorough, and timely.

• Track regulatory changes from the CFTC and NFA, converting these updates into specific modifications to the compliance program.

• Assist the CCO with preparation for examinations, internal reporting, and regulatory submissions related to FCM operations.

• Collaborate across trading, operations, and legal teams to ensure that the compliance program accurately mirrors business practices.

⛳️ Requirements

• Direct compliance experience at a CFTC-registered FCM.

• In-depth understanding of CFTC and NFA regulations.

• Demonstrated experience in drafting written supervisory procedures.

• Capability to work autonomously and make sound decisions.

• Clear and direct written communication for regulators, internal stakeholders, and senior management.

• Experience managing an NFA or CFTC examination or formal inquiry from initiation to conclusion (preferred).

🏝️ Benefits

• Competitive salary & equity.

• Unlimited PTO.

• Comprehensive Health, Vision, & Dental coverage.

• 401k matching.

• Hardware setup: new MacBook Pro, large display, & accessories.