Compliance Consultant - Futures Commission Merchant

Description
Our client is seeking a compliance and surveillance analyst with 2 to 5 years of experience to join their newly registered Futures Commission Merchant (FCM). In this role, you will support our Chief Compliance Officer (CCO) in navigating NFA and CFTC frameworks, managing day-to-day regulatory operations, and executing trade surveillance. This position is ideal for an analyst with a foundation in FINRA or NFA regulations who wants to step into the cutting-edge intersection of digital assets and traditional derivatives. This role is onsite 2-3 days a week in Manhattan.

Key Responsibilities

+ Regulatory Responses: Assist the CCO in preparing timely responses to NFA and CFTC inquiries, audits, and routine exams.

+ Trade Surveillance: Monitor daily trading activity to detect and investigate potential market abuses, wash trading, or spoofing.

+ Policies & Procedures: Update, refine, and maintain the FCM’s written supervisory procedures to ...