CFTC Licensed Compliance Manager

Job Summary

To support the establishment of a registered Futures Commission Merchant, the full-time remote CFTC Licensed Compliance Manager will build and manage the compliance program, ensuring adherence to CFTC and NFA regulations while serving as the primary point of contact for regulatory inquiries.

Key responsibilities

• Build and maintain the FCM compliance program, including updating written supervisory procedures in line with evolving CFTC and NFA rules
• Conduct ongoing gap analyses against regulatory requirements and provide actionable recommendations to the CCO
• Serve as the main contact for NFA and CFTC inquiries, ensuring accurate and timely responses to regulatory requests

Required qualifications

• Direct compliance experience at a CFTC-registered Futures Commission Merchant
• Deep knowledge of CFTC and NFA rules, with the ability to identify regulatory gaps independently
• Proven experience in drafting written supervisory procedures from scratch
• Ability to work independently and make informed judgment calls
• Strong written communication skills for diverse audiences, including regulators and senior leadership