Futures & Swaps Compliance Lead

Cantor Fitzgerald Ireland Ltd; Jacksonville (FL); Vor Ort; USD 120.000 - 180.000; Vollzeit

Zusammenfassung

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

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Regulatory knowledge

Communication skills

Multitask management

Attention to detail

Stakeholder collaboration

Ausbildung

Advanced degree

Jobbeschreibung

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