The Futures Compliance Officer is responsible for supporting and enhancing the firm s regulatory compliance program for futures and listed derivatives activities. This role focuses on ensuring adherence to applicable regulatory standards while strengthening controls around market conduct, surveillance, governance, and regulatory interaction.
RESPONSIBILITIES
Compliance Framework & Governance
Maintain and continuously improve the futures compliance program in line with CFTC regulations and the Commodity Exchange Act
Support governance processes including policy maintenance, annual compliance planning, and tracking of regulatory issues through remediation
Contribute to the preparation and submission of required CFTC compliance reports, including documentation of testing outcomes and identified exceptions
Coordinate materials for senior management reporting, certifications, and governance forums
Risk Oversight & Control Environment
Partner with Risk to support the futures risk management framework, including oversight of trading limits, model governance, and independent validation/testing
Enhance control structures related to market conduct, position monitoring, and fair dealing standards
Design and implement compliance testing and monitoring programs across trading activity, regulatory reporting, and record retention requirements
Surveillance & Market Conduct Monitoring
Oversee trade and communications surveillance activities with a focus on futures markets
Monitor for potential market abuse, position limit breaches, and other conduct risks
Strengthen surveillance tools and processes to improve detection and escalation of issues
Regulatory Engagement & Examinations
Manage interactions with regulatory bodies including the CFTC and NFA, including examinations and information requests
Track and assess regulatory updates, exchange rule changes, and enforcement trends impacting futures and derivatives markets
Books, Records & Supervision
Ensure compliance with books-and-records obligations, including trade data integrity, communications retention, and supervisory controls
Support enhancements to recordkeeping frameworks and associated control processes
Advisory & Business Support
Provide compliance guidance to Front Office, Operations, and Technology teams on futures-related regulatory requirements and market structure considerations
Serve as a key advisor on regulatory interpretation and implementation of controls within business initiatives
Training & Awareness
Deliver and support compliance training programs to promote firmwide awareness of futures regulatory obligations and best practices
Numbers & Facts
Location
New York City OR Chicago, IL
Skills
Continuous Improvementunmatched
Data Qualityunmatched
Documentationunmatched
Futuresunmatched
Interpret Regulationsunmatched
Maintain Complianceunmatched
Management Reportingunmatched
Market Trackingunmatched
Market Trend Analysisunmatched
Materials Managementunmatched
Microsoft Exchange Serverunmatched
Policy Implementationunmatched
Process Improvementunmatched
Records Managementunmatched
Regulationsunmatched
Regulatory Complianceunmatched
Regulatory Reportsunmatched
Regulatory Requirementsunmatched
Riskunmatched
Risk Managementunmatched
Risk Management Framework (RMF)unmatched
Surveillanceunmatched
Technical Operationsunmatched
Testingunmatched
Validation Testingunmatched
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