Futures Regulatory Compliance Manager (NYSE Listed Wealth Fintech)

Salient Group; Jersey City (NJ); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Room to grow

Job summary

Salient Group in Jersey City, NJ seeks a hands-on Compliance leader to own regulatory exams, investigations and inquiries from first request to final remediation. You will coordinate with CFTC, NFA and major exchanges, briefing senior leadership directly.

You will lead responses across trading, clearing, margin, collateral and books/records, owning logs and remediation plans. This role requires 5+ years in futures compliance and a deep understanding of regulatory frameworks.

Qualifications

• 5+ years in compliance or regulatory roles with real futures depth.
• Hands-on experience inside a futures trading/clearing environment or with a regulator.
• Proven track record managing regulatory requests and exam responses.
• Strong command of CFTC/NFA/exchange rulebooks and customer protection.
• Experience with trade surveillance and market conduct rules.

Responsibilities

• Run the regulatory agenda and own exams, investigations and information requests.
• Coordinate cross-functional teams to deliver complete responses on deadline.
• Maintain exam logs, trackers and remediation plans.
• Lead internal investigations into potential rule breaches.

Skills

Regulatory expertise

Communication skills

Project coordination

Stakeholder management

Futures markets knowledge

Series 7

Series 24

Series 3/4

Tools

Regulatory workflow tools

Job description

When a regulator calls, you're the person the business turns to. This is a hands-on seat at the centre of a US futures and derivatives business, owning regulatory exams, investigations and inquiries from first request to final remediation. You'll be the go-to contact for the CFTC, NFA and the major futures exchanges, and you'll brief the CCO and senior leadership directly.

What you'll do

Run the regulatory agenda

• Lead responses to exams, investigations, audits and information requests across trading, clearing, margin, collateral, segregation and books and records
• Pull together Operations, Risk, Technology, Finance, Legal and the business to deliver complete, accurate responses on deadline
• Own the exam logs, correspondence and trackers, then drive remediation plans and corrective actions from any findings
• Run internal investigations into potential CFTC, NFA, exchange or firm rule breaches

Be the compliance voice in clearing and operations

• Advise on the full futures trade lifecycle, from order entry through settlement, including margin, positions, reconciliations and customer protection
• Challenge and strengthen operational controls, exception handling and escalation
• Weigh in on new products, exchange connectivity, clearing and carrying relationships, and regulatory change projects

Keep the market conduct lens sharp

• Partner with surveillance on potential spoofing, layering, wash trading, disruptive practices and position limit issues
• Support inquiries involving order-level and trade-level activity, and help test whether surveillance scenarios are working
• Stay ahead of enforcement priorities and recommend improvements to the supervisory framework

Stay ahead of the rules

• Track CFTC, NFA and exchange developments, assess their impact and guide implementation
• Maintain policies, WSPs and control frameworks, and contribute to risk assessments and testing
• Work with AML on futures customer activity, due diligence, sanctions and suspicious activity escalation
• Train and advise colleagues, and help build a culture where people escalated early

What you bring

• 5+ years in compliance, regulatory or supervisory roles with real futures and derivatives depth
• Hands-on experience inside an FCM, clearing firm, exchange, regulator, or a financial institution with substantial futures operations
• Proven track record managing or materially supporting exams, investigations and regulatory requests
• Strong command of the CFTC, NFA and exchange rulebooks, customer protection and segregation, and the clearing lifecycle
• Working knowledge of trade surveillance, market conduct and disruptive trading rules
• Experience coordinating complex, multi-team regulatory responses under pressure
• The communication skills to explain complex regulatory issues to senior leaders and non-compliance colleagues
• Series 7 and Series 24 required; Series 3/4 very good to have
• Time spent at, or working closely with, the CFTC, NFA or a major exchange
• FCM customer clearing experience, including omnibus or affiliate clearing arrangements
• Experience reconstructing order and trade activity for surveillance or investigations
• Familiarity with position limits, large trader reporting and exchange reporting
• Exposure to algorithmic or high-volume electronic trading, or cross-market surveillance
• Experience in a multinational organisation

What's on offer

• Genuine room to grow in a collaborative, fast-moving environment

We regret to inform that only shortlisted candidates will be contacted.