Compliance Manager, Futures & Swaps Advisory

Cantor Fitzgerald; Jacksonville (FL); Presencial; USD 120.000 - 180.000; Jornada completa

Descripción de la vacante

Cantor Fitzgerald Securities seeks a Compliance Manager to provide regulatory guidance for U.S. Futures and Swaps Introducing Broker activities, ensuring adherence to CFTC/NFA rules and SEF requirements.

The role works with front‑office, risk, operations, and tech teams to strengthen supervisory frameworks and training programs. Responsibilities include coordinating examinations, creating robust surveillance programs, and conducting trade reconstructions across futures, swaps, and related

Formación

• Minimum of five years of compliance, regulatory, or supervisory experience within a broker‑dealer, regulator, or similar entity.
• Strong knowledge of CFTC and NFA rules, Dodd‑Frank Title VII, and SEF requirements.
• Certifications/registrations such as Series 3, Series 7, Series 24, Series 30, or SPE preferred.
• Experience with trade reconstruction, audit‑trail analysis, and surveillance systems.
• Ability to draft and coordinate responses to regulatory inquiries and examinations.

Responsabilidades

• Provide day‑to‑day regulatory guidance to U.S. Futures and Swaps Introducing Broker businesses.
• Develop, enhance, and implement compliance policies aligned with regulatory requirements.
• Analyze complex regulatory issues and implement timely solutions with minimal supervision.
• Collaborate with traders and risk teams to assess and remediate compliance risks.
• Support regulatory examinations and audits by gathering and presenting required materials.

Conocimientos

Regulatory knowledge

Communication skills

Multitask management

Attention to detail

Stakeholder collaboration

Educación

Advanced degree

Descripción del empleo

The Compliance Manager will be a key member of Cantor Fitzgerald Securities’ Compliance team, providing advisory and surveillance coverage for the firm’s Traditional and Block Futures/Commodities businesses and Swap activities conducted through its Introducing Broker entities and Swap Execution Facility. The role supports the Futures Commission Merchant’s guarantor responsibilities, works in‑office, and partners closely with front‑office, risk, operations, and technology teams to ensure robust compliance frameworks and regulatory adherence.

Responsibilities

• Serve as the primary compliance advisor to U.S. Futures and Swaps Introducing Broker businesses, offering day‑to‑day regulatory guidance.
• Develop, enhance, and implement compliance policies and procedures aligned with CFTC, NFA, and exchange requirements.
• Analyze complex regulatory and business issues, identify risks, and implement timely solutions with minimal supervision.
• Partner with traders, supervisors, and stakeholders to assess compliance risks and remediate identified issues.
• Independently manage multiple priorities, initiatives, and projects while meeting critical deadlines.
• Support regulatory examinations, audits, and reviews by gathering, analyzing, and presenting required documentation.
• Monitor regulatory developments, industry trends, and rule changes, recommending enhancements to maintain ongoing compliance.
• Collaborate with business and control functions to design and strengthen supervisory frameworks, surveillance programs, controls, and monitoring reports.
• Draft and coordinate responses to regulatory inquiries, examinations, and information requests.
• Conduct comprehensive trade reconstructions and audit‑trail reviews across traditional futures, block futures, and swap transactions, including electronic and voice communications.

Qualifications

• Advanced degree preferred.
• Minimum of five years of compliance, regulatory, or supervisory experience within an FCM, Introducing Broker, broker‑dealer, exchange, or regulatory organization.
• Strong knowledge of CFTC and NFA rules, Dodd‑Frank Title VII, and SEF regulatory requirements.
• Excellent analytical, organizational, written, and verbal communication skills.
• Demonstrated ability to manage multiple priorities in a fast‑paced, regulated environment.
• Professional certifications/registrations such as Series 3, Series 7, Series 24, Series 30, or the Swaps Proficiency Exam (SPE) preferred.
• Experience with trade reconstruction, audit‑trail analysis, and surveillance systems.
• Proven ability to collaborate with front‑office, risk, operations, and technology teams.
• Demonstrated skill in developing and delivering compliance training programs.
• Detail‑oriented with strong judgment and problem‑solving abilities.