Senior Compliance Manager - FCM

Senior Compliance Manager - FCMOur client, a leading Futures Commission Merchant (FCM), is seeking a Senior Compliance Manager to drive regulatory compliance, oversee policies and procedures, and strengthen the firm's operational risk framework. This high-impact role requires an experienced compliance professional with deep knowledge of futures regulations and a strong ability to manage regulatory inquiries and examinations.This is an opportunity to take on a leadership role within a top-tier FCM firm committed to integrity, risk management, and regulatory excellence and where you will receive a competitive salary, bonus, and generous benefits.Please note this is an onsite position at the client's New York office.Key Responsibilities:Regulatory Oversight: Ensure the firm's compliance with all CFTC, NFA, and SEC regulations, maintaining strong relationships with regulators and responding effectively to inquiries, audits, and examinations.Policy & Procedure Management: Develop, implement, and refine compliance policies, procedures, and internal controls to mitigate regulatory risks and align with evolving industry standards.Operational Risk Management: Oversee the firm's operational risk framework, identifying compliance gaps, conducting internal reviews, and leading initiatives to enhance risk mitigation efforts.Compliance Strategy & Advisory: Serve as a trusted advisor to senior leadership, providing guidance on compliance matters, regulatory developments, and best practices to ensure ongoing adherence to industry regulations.Collaboration & Stakeholder Engagement: Work closely with legal, risk, and operations teams to embed compliance within the firm's business strategy while maintaining an effective compliance culture.Qualifications:10+ years of experience in futures regulatory compliance at an FCM, broker-dealer, or other financial institution.Expertise in CFTC, NFA, and SEC regulatory frameworks, including experience managing regulatory audits and inquiries.Strong analytical skills with the ability to assess compliance risks and develop effective solutions.Excellent communication and leadership abilities, capable of influencing senior stakeholders and regulators.Please note this is an onsite position working at the client's NY office.Please note that the employer will not sponsor applicants for work visas.No recruiter represented or third party candidate submissions will be accepted. Any unsolicited resumes/candidate profiles submitted will not be considered are not subject to payment of agency fees

Created: 2025-02-15