Compliance Manager, Futures & Swaps Advisory

Cantor Fitzgerald Ireland Ltd; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Cantor Fitzgerald Securities in New York seeks a Compliance Manager to provide advisory and surveillance coverage for Futures, Swaps, and related activities. You will partner with front-office, risk, operations, and technology teams to ensure strong regulatory adherence.

The role requires a minimum of five years in compliance or supervisory work, with expertise in CFTC/NFA rules and Dodd-Frank Title VII. In-office position with close collaboration across functions to strengthen controls and

Qualifications

• Minimum of five years in compliance or supervisory roles within financial services.
• Expert knowledge of CFTC, NFA rules, Dodd-Frank Title VII.
• Ability to analyze regulatory and business issues and provide solutions.
• Experience with trade reconstruction and audit-trail analysis.
• Strong communication and training delivery skills.

Responsibilities

• Serve as the primary compliance advisor to U.S. Futures and Swaps Introducing Broker businesses.
• Develop, enhance, and implement compliance policies aligned with regulatory requirements.
• Analyze regulatory issues and identify risks with minimal supervision.
• Partner with traders, supervisors, and stakeholders to assess risks.
• Manage multiple priorities and projects with deadlines.
• Support regulatory examinations and audits with documentation.
• Monitor regulatory developments and proposed rule changes.
• Collaborate to design surveillance frameworks and monitoring reports.
• Draft and coordinate responses to regulatory inquiries.
• Conduct trade reconstructions and audit-trail reviews.

Skills

Regulatory compliance

CFTC/NFA rules

Trade surveillance

Policy development

Training delivery

Education

Advanced degree preferred

Tools

Surveillance software

Job description

Job Description

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.

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 Series3, Series7, Series24, Series30, 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.