FCM Regulatory Reporting Consultant

Atlas Search; New York (NY); On-site; USD 120,000 - 160,000; Full time

Job summary

Atlas Search is seeking an FCM Regulatory Reporting Consultant to join its Finance organization in New York, NY. The role focuses on customer futures segregation and regulatory filings under CFTC, NFA, and DSRO requirements, supporting accuracy and timeliness across reporting processes and controls.

You will collaborate with Finance, Operations, Treasury, Legal & Compliance, and Technology to strengthen and evolve reporting capabilities, including change management and audit support.

Qualifications

• Extensive knowledge of CFTC, NFA, and DSRO reporting requirements.
• Strong control mindset with ability to review and improve processes.
• Experience collaborating with Finance, Operations, Treasury, Legal & Compliance, and Technology.

Responsibilities

• Prepare, review, and timely submit the FCM monthly reports (e.g., Form 1-FR-FCM, FOCUS).
• Manage customer futures segregation computations under CFTC rules.
• Support net capital computations and monitor capital thresholds.
• Reconcile customer segregation and secured amounts to the GL and clearing records; remediate breaks.
• Interpret and implement regulatory changes affecting reporting processes.
• Serve as main point of contact during regulatory examinations and audits.
• Identify opportunities to automate and strengthen the reporting process.
• Partner with Legal & Compliance on regulatory inquiries and policy updates.
• Assist with onboarding of new customer futures products into reporting processes.

Job description

Our firm is seeking an FCM Regulatory Reporting Consultant to join its Finance organization in the firm's New York, NY (Midtown) office. This role will act as the subject matter expert for regulatory reporting obligations tied to the firms FCM business, with particular emphasis on customer futures segregation and related CFTC, NFA, and Designated Self-Regulatory Organization (DSRO) reporting requirements. The successful candidate will work closely with Finance, Operations, Treasury, Legal & Compliance, and Technology to ensure the accuracy, timeliness, and integrity of all FCM regulatory filings, and will help strengthen and evolve the underlying reporting processes and controls.

Responsibilities:

• Customer futures segregation – Perform and/or review daily customer segregated funds computations under CFTC Regulation 1.20 and the secured amount computation under CFTC Regulation 30.7, including monitoring of residual interest and excess segregated funds against CFTC residual interest deadline requirements.
• Regulatory filings – Own preparation, review, and timely submission of the FCM's required regulatory reports, including the monthly Form 1-FR-FCM / FOCUS Report filings with the CFTC, NFA, and the applicable DSRO (e.g., CME).
• Net capital – Support net capital computations under CFTC Rule 1.17, monitor early warning and minimum capital thresholds, and help evaluate the regulatory capital impact of new business activity.
• Reconciliation & controls – Reconcile customer futures segregation and secured amount schedules to the general ledger and underlying clearing and custody records; identify and remediate breaks and control gaps.
• Regulatory change management – Monitor, interpret, and assess the impact of new and amended CFTC and NFA rules affecting customer futures regulatory reporting, and lead implementation of resulting process changes.
• Examinations & audit support – Serve as a key point of contact for NFA, CME, and CFTC examiners during regulatory examinations, and prepare supporting workpapers and documentation for internal and external audit purposes.
• Process improvement – Identify opportunities to enhance, automate, and strengthen the regulatory reporting process; partner with Technology on system enhancements, data quality, and reporting automation.
• Cross-functional partnership – Work closely with Legal & Compliance on regulatory inquiries, rule interpretation, and policy updates related to customer futures, and provide guidance and training to Finance and Operations staff on FCM regulatory reporting requirements.
• New product onboarding – Partner with Global Markets, Operations, and Legal & Compliance to extend segregation, net capital, and regulatory reporting processes and controls to cover new customer futures products, including event contracts traded through the firm's institutional block trading business in prediction markets.