FCM Regulatory Reporting Consultant

We're seeking an FCM Regulatory Reporting Consultant to join a Finance organization in New York, NY (Midtown) office. This role will act as the subject matter expert for regulatory reporting obligations tied to our FCM business, with particular emphasis on customer futures segregation and related CFTC, NFA, and Designated Self-Regulatory Organization (DSRO) reporting requirements. The successful candidate will work closely with Finance, Operations, Treasury, Legal & Compliance, and Technology to ensure the accuracy, timeliness, and integrity of all FCM regulatory filings, and will help strengthen and evolve the underlying reporting processes and controls.

Responsibilities

• Perform and/or review daily customer segregated funds computations under CFTC Regulation 1.20 and the secured amount computation under CFTC Regulation 30.7, including monitoring of residual interest and excess segregated funds against CFTC residual interest deadline requirements
• Own preparation, review, and timely submission of the FCM's required regulatory reports, including the monthly Form 1-FR-FCM / FOCUS Report filings with the CFTC, NFA, and the applicable DSRO (e.g., CME)
• Support net capital computations under CFTC Rule 1.17, monitor early warning and minimum capital thresholds, and help evaluate the regulatory capital impact of new business activity
• Reconcile customer futures segregation and secured amount schedules to the general ledger and underlying clearing and custody records; identify and remediate breaks and control gaps
• Monitor, interpret, and assess the impact of new and amended CFTC and NFA rules affecting customer futures regulatory reporting, and lead implementation of resulting process changes
• Serve as a key point of contact for NFA, CME, and CFTC examiners during regulatory examinations, and prepare supporting workpapers and documentation for internal and external audit purposes
• Identify opportunities to enhance, automate, and strengthen the regulatory reporting process; partner with Technology on system enhancements, data quality, and reporting automation
• Work closely with Legal & Compliance on regulatory inquiries, rule interpretation, and policy updates related to customer futures, and provide guidance and training to Finance and Operations staff on FCM regulatory reporting requirements
• Partner with Global Markets, Operations, and Legal & Compliance to extend segregation, net capital, and regulatory reporting processes and controls to cover new customer futures products, including event contracts traded through our institutional block trading business in prediction markets

Requirements

• 7+ years of progressive experience in regulatory reporting, with substantial, hands-on experience in FCM / futures industry regulatory reporting, including customer futures segregation and Form 1-FR-FCM / FOCUS Report filings
• Deep working knowledge of CFTC Part 1 regulations (segregation and net capital), CFTC Part 30 (foreign futures secured amount), and NFA Financial Requirements
• Direct experience preparing and/or reviewing daily segregation computations, residual interest calculations, and monthly regulatory filings for an FCM
• Prior experience interfacing with CFTC, NFA, and/or DSRO examiners during regulatory examinations
• Bachelor's degree in Accounting, Finance, or a related field required; CPA, CFA, or other relevant certification a plus
• Strong analytical and reconciliation skills, with a high level of attention to detail and the ability to deliver accurate work under tight deadlines
• Advanced Excel skills; experience with regulatory reporting, general ledger, or clearing/margin systems preferred
• Excellent written and verbal communication skills, with the ability to explain complex regulatory requirements clearly to non-specialist stakeholders
• Ability to work independently, manage competing priorities, and operate effectively in a fast-paced broker-dealer / FCM environment

Nice to Have

• Experience supporting FCM regulatory reporting system implementations or broader process transformation initiatives
• Familiarity with cleared derivatives operations and margin/clearing processes for customer futures
• Prior experience in a consulting, advisory, or project-based capacity supporting a Finance or Regulatory Reporting function
• Familiarity with event contracts, designated contract markets (e.g., Kalshi), or other emerging CFTC-regulated products