Job DescriptionThe Compliance Manager will be a key member of Cantor Fitzgerald Securities' Compliance team, providing advisory and surveillance coverage for the firm's Traditional and Block Futures/Commodities businesses and Swap activities conducted through its Introducing Broker entities and Swap Execution Facility. The role supports the Futures Commission Merchant's guarantor responsibilities, works in-office, and partners closely with front-office, risk, operations, and technology teams to ensure robust compliance frameworks and regulatory adherence.
Responsibilities- Serve as the primary compliance advisor to U.S. Futures and Swaps Introducing Broker businesses, offering day-to-day regulatory guidance.
- Develop, enhance, and implement compliance policies and procedures aligned with CFTC, NFA, and exchange requirements.
- Analyze complex regulatory and business issues, identify risks, and implement timely solutions with minimal supervision.
- Partner with traders, supervisors, and stakeholders to assess compliance risks and remediate identified issues.
- Independently manage multiple priorities, initiatives, and projects while meeting critical deadlines.
- Support regulatory examinations, audits, and reviews by gathering, analyzing, and presenting required documentation.
- Monitor regulatory developments, industry trends, and rule changes, recommending enhancements to maintain ongoing compliance.
- Collaborate with business and control functions to design and strengthen supervisory frameworks, surveillance programs, controls, and monitoring reports.
- Draft and coordinate responses to regulatory inquiries, examinations, and information requests.
- Conduct comprehensive trade reconstructions and audit-trail reviews across traditional futures, block futures, and swap transactions, including electronic and voice communications.
Qualifications- Advanced degree preferred.
- Minimum of five years of compliance, regulatory, or supervisory experience within an FCM, Introducing Broker, broker-dealer, exchange, or regulatory organization.
- Strong knowledge of CFTC and NFA rules, Dodd-Frank Title VII, and SEF regulatory requirements.
- Excellent analytical, organizational, written, and verbal communication skills.
- Demonstrated ability to manage multiple priorities in a fast-paced, regulated environment.
- Professional certifications/registrations such as Series 3, Series 7, Series 24, Series 30, or the Swaps Proficiency Exam (SPE) preferred.
- Experience with trade reconstruction, audit-trail analysis, and surveillance systems.
- Proven ability to collaborate with front-office, risk, operations, and technology teams.
- Demonstrated skill in developing and delivering compliance training programs.
- Detail-oriented with strong judgment and problem-solving abilities.
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