Director of Broker Operations - Futures Commission Merchant (FCM)

$190k - $215k

Full-time

Robert Half

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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Vacancy posted 1 day ago

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