Provides compliance advisory and surveillance coverage for futures, commodities, and swaps businesses. Develops policies aligned with CFTC, NFA, and exchange requirements; assesses risks; supports examinations and audits; monitors regulatory changes; strengthens supervisory and surveillance controls; coordinates regulatory responses; and conducts trade reconstructions and audit-trail reviews across electronic and voice transactions.
The 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.
- 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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Cantor Fitzgerald New York, New York, USA Office
499 Park Avenue, New York, NY, United States, 10022
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