Futures & Derivatives Compliance Lead

Madison-Davis, LLC; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Madison-Davis, LLC seeks an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance across its futures, commodities, and swaps businesses. You will partner with trading desks, Risk, Operations, and Technology to ensure robust controls and timely regulatory responses.

The role requires deep knowledge of CFTC, NFA, and Dodd-Frank Title VII, with a proven track record leading complex regulatory initiatives in a fast-paced trading environment.

Qualifications

• Minimum 5 years of compliance experience in financial services.
• Knowledge of CFTC, NFA, and Dodd-Frank Title VII required.
• Experience with SEF rules and swap regulatory obligations.
• Experience with trade reconstruction and audit trails.
• Ability to manage multiple regulatory projects independently.

Responsibilities

• Provide regulatory guidance and oversight for futures, commodities, and swaps.
• Develop and maintain policies and internal controls per regulatory requirements.
• Conduct trade surveillance, reviews, and trade reconstructions including audit trails.
• Support oversight of swap execution activities and regulatory obligations.
• Collaborate with trading, risk, operations, and technology to resolve issues.
• Coordinate regulatory examinations, internal audits, and information requests.
• Monitor regulatory developments and assess impacts on programs.
• Strengthen surveillance processes and risk-based compliance frameworks.
• Develop and deliver compliance training to staff.
• Independently manage regulatory projects and competing priorities.

Skills

Regulatory compliance

Trade surveillance

Regulatory reporting

Analytical skills

Project management

Cross-functional collaboration

Communication skills

Education

Master's degree in Finance/Law or related field

Tools

Surveillance technology

Audit trails tools

Job description

Madison-Davis, LLC seeks an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance across its futures, commodities, and swaps businesses. You will partner with trading desks, Risk, Operations, and Technology to ensure robust controls and timely regulatory responses.

The role requires deep knowledge of CFTC, NFA, and Dodd-Frank Title VII, with a proven track record leading complex regulatory initiatives in a fast-paced trading environment.