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FCM CCO

Madison-Davis

New York City OR Chicago, IL

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JOB DETAILS
SKILLS
Continuous Improvement, Data Quality, Documentation, Futures, Interpret Regulations, Maintain Compliance, Management Reporting, Market Tracking, Market Trend Analysis, Materials Management, Microsoft Exchange Server, Policy Implementation, Process Improvement, Records Management, Regulations, Regulatory Compliance, Regulatory Reports, Regulatory Requirements, Risk, Risk Management, Risk Management Framework (RMF), Surveillance, Technical Operations, Testing, Validation Testing
LOCATION
New York City OR Chicago, IL
POSTED
30+ days ago

ABOUT THE ROLE

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

About the Company

M

Madison-Davis

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