at BGC Partners
OtherPosted 13 days ago
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**Compliance Manager, Futures & Swaps Advisory** drives Cantor Fitzgerald's Compliance team in New York City, NY, USA. This role is crucial for traditionally traded and Block Futures/Commodities, and Swap activities conducted through Introducing Broker entities and Swap Execution Facility. It involves day-to-day regulatory guidance, developing/enhancing compliance policies, and implementing solutions for CFTC, NFA, and exchange requirements. Tasks include trade reconstructions, regulatory responses, surveillance, and maintaining awareness of industry trends. Requirements include a minimum of five years of relevant experience, strong knowledge of CFTC/NFA rules, Dodd-Frank Title VII, and SEF regulations. Professional certifications such as Series 3, 7, 24, 30, or SPE are preferred.
- Compensation
- Not specified
- City
- New York City
- Country
- United States
Currency: Not specified
Full Job Description
Location: New York, NY, United States
The Compliance Manager will be a key member of Cantor Fitzgerald Securities Compliance team, providing advisory and surveillance coverage for the firms Traditional and Block Futures/Commodities businesses and Swap activities conducted through its Introducing Broker entities and Swap Execution Facility. The role supports the Futures Commission Merchants guarantor responsibilities, works inoffice, and partners closely with frontoffice, risk, operations, and technology teams to ensure robust compliance frameworks and regulatory adherence.Responsibilities
- Serve as the primary compliance advisor to U.S. Futures and Swaps Introducing Broker businesses, offering daytoday regulatory guidance.
- Develop, enhance, and implement compliance policies and procedures aligned with CFTC, NFA, and exchange requirements.
- Analyze complex regulatory and business issues, identify risks, and implement timely solutions with minimal supervision.
- Partner with traders, supervisors, and stakeholders to assess compliance risks and remediate identified issues.
- Independently manage multiple priorities, initiatives, and projects while meeting critical deadlines.
- Support regulatory examinations, audits, and reviews by gathering, analyzing, and presenting required documentation.
- Monitor regulatory developments, industry trends, and rule changes, recommending enhancements to maintain ongoing compliance.
- Collaborate with business and control functions to design and strengthen supervisory frameworks, surveillance programs, controls, and monitoring reports.
- Draft and coordinate responses to regulatory inquiries, examinations, and information requests.
- Conduct comprehensive trade reconstructions and audittrail reviews across traditional futures, block futures, and swap transactions, including electronic and voice communications.
Qualifications
- Advanced degree preferred.
- Minimum of five years of compliance, regulatory, or supervisory experience within an FCM, Introducing Broker, brokerdealer, exchange, or regulatory organization.
- Strong knowledge of CFTC and NFA rules, DoddFrank Title VII, and SEF regulatory requirements.
- Excellent analytical, organizational, written, and verbal communication skills.
- Demonstrated ability to manage multiple priorities in a fastpaced, regulated environment.
- Professional certifications/registrations such as Series 3, Series 7, Series 24, Series 30, or the Swaps Proficiency Exam (SPE) preferred.
- Experience with trade reconstruction, audittrail analysis, and surveillance systems.
- Proven ability to collaborate with frontoffice, risk, operations, and technology teams.
- Demonstrated skill in developing and delivering compliance training programs.
- Detailoriented with strong judgment and problemsolving abilities.
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Compliance Manager, Futures & Swaps Advisory lead regulatory guidance, policy development, and surveillance for Cantor Fitzgeralds Futures, Block Futures, and Swap activities across IB and SEF platforms.
