Director of Broker Operations - Futures Commission Merchant (FCM)

HYBRID ROLE – Director of Broker Operations – Futures Commission Merchant (FCM)

Sweater weather is delightful, but not as delightful as this new high-paying opportunity!

The salary range for this position is $190,000-$215,000 plus bonus, and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this role please send your resume to View email address on click.appcast.io

Job Description

• Serve as the firm's Principal and Associated Person (AP) under NFA/CFTC registration
• Write and maintain the firm's Written Supervisory Procedures (WSPs)
• Oversee all regulatory programs, including AML/KYC, trade surveillance, financial reporting, and business continuity planning
• Work with our clearing FCM(s) to make sure give-up agreements, data feeds, and workflows meet compliance standards
• Partner with the FINOP on Form 1-FR-IB filings and annual audits
• Partner with the CCO to manage NFA examinations
• Design the operational backbone of a retail-facing futures broker, including account onboarding, trade reconciliation, and customer service
• Select, integrate, and manage clearing interfaces, OMS/EMS platforms, compliance systems, and back-office automation
• Hire and lead an operations team that can support thousands of active accounts
• Work with the FINOP to stay compliant with CFTC Regulation 1.10 financial and net capital requirements
• Maintain strong reconciliation, segregation, and reporting procedures for customer transactions
• Own the firm's risk and control framework across operational and financial exposures
• Contribute to educational and promotional content that complies with NFA Rule 2-29

Qualifications:

• 10+ years in brokerage operations, ideally from a NFA/CFTC-regulated IB or a FINRA-regulated broker-dealer
• Deep knowledge of CFTC and NFA compliance and audit processes
• Series 3 and Series 30 licenses – must have
• Bachelor's degree

To apply to this role please send your resume to View email address on click.appcast.io

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