Compliance Manager - FCM

📋 Description

• Build and own the FCM compliance program, including all written supervisory procedures across
• Conduct ongoing gap analyses against CFTC and NFA requirements and bring issues to the CCO with
• Draft, maintain, and update compliance policies and procedures as the business grows and regulatory
• Serve as the primary point of contact for NFA and CFTC inquiries, coordinating internal document
• Monitor regulatory developments across the CFTC and NFA and translate changes into concrete updates
• Support the CCO on exam preparation, internal reporting, and any regulatory filings tied to FCM

🎯 Requirements

• Direct compliance experience at a CFTC-registered FCM.
• Deep knowledge of CFTC and NFA rules with the ability to cite regulations and identify gaps.
• Proven experience drafting written supervisory procedures.
• Ability to work independently and make sound judgment calls.
• Clear, direct written communication for regulators, internal stakeholders, and senior leadership.
• (Plus) Experience managing an NFA or CFTC examination or formal inquiry.

🎁 Benefits

• Competitive salary & equity
• Unlimited PTO
• Full Health, Vision, & Dental coverage
• 401k match
• Hardware setup: new MacBook Pro, big display, & accessories