Head of Futures Compliance

Growing broker dealer client is seeking a Senior Futures Compliance leader to oversee its U.S. FCM, IB, and GIB activities. This role manages a small advisory team professionals.

Responsibilities:

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  Lead U.S. FCM compliance oversight and supervise advisory staff.

  
  


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  Ensure compliance with National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), and applicable exchange rules.

  
  


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  Manage regulatory inquiries, examinations, BCACs, policies, and management documentation.

  
  


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  Maintain compliance calendar obligations and oversee risk escalation.

  
  


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  Act as primary liaison to Desk Heads and business lines.

  
  

Qualifications:

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  10+ years of financial services compliance or legal experience.

  
  
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