Compliance Manager - Futures & Derivatives

A leading global financial services firm is seeking an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance activities across its futures, commodities, and swaps businesses.

This position offers significant exposure to trading operations, regulatory oversight, and cross-functional initiatives. The ideal candidate brings strong knowledge of derivatives regulations, sound judgment, and the ability to independently manage complex compliance matters in a fast-paced trading environment.

Key Responsibilities

• Provide regulatory guidance and compliance oversight to futures, commodities, and swaps trading businesses, including Introducing Broker operations.
• Develop, maintain, and enhance policies, supervisory procedures, and internal controls in accordance with CFTC, NFA, and applicable exchange requirements.
• Conduct trade surveillance, transaction reviews, and detailed trade reconstructions, including analysis of audit trails and electronic and voice communications.
• Support compliance oversight of swap execution activities and related regulatory obligations.
• Work closely with trading desks, Risk, Operations, and Technology to identify potential regulatory issues and implement corrective actions.
• Coordinate regulatory examinations, internal audits, and information requests, including preparing documentation and formal responses.
• Track regulatory developments and assess their impact on business practices, supervisory controls, and compliance programs.
• Strengthen surveillance processes, monitoring reports, and risk-based compliance frameworks.
• Develop and deliver compliance training to employees and business stakeholders.
• Independently manage regulatory projects, competing priorities, and time-sensitive compliance initiatives.

Qualifications

• Minimum 5 years of experience in compliance, regulatory oversight, or supervision within an FCM, Introducing Broker, broker-dealer, exchange, or regulatory organization.
• Advanced degree preferred.
• Strong working knowledge of CFTC regulations, NFA requirements, Dodd-Frank Title VII, and Swap Execution Facility (SEF) rules.
• Experience with trade reconstruction, audit-trail reviews, and surveillance technology.
• Familiarity with futures, commodities, and swaps trading activities and related supervisory requirements.
• Professional registrations or qualifications such as Series 3, 7, 24, 30, or Swaps Proficiency Exam (SPE) preferred.
• Strong analytical, investigative, and problem-solving skills with exceptional attention to detail.
• Excellent written and verbal communication skills, including experience drafting regulatory materials and delivering compliance training.
• Demonstrated ability to collaborate with front-office and control functions while managing multiple deadlines.
• Self-directed professional with strong organizational skills, sound judgment, and the ability to navigate complex regulatory matters.