Senior Manager, Compliance - Business Conduct

POSITION OVERVIEW

Our firm is a leading proprietary trading firm and CFTC/NFA-registered Introducing Broker operating across futures, options on futures, and related derivatives markets. We are seeking a seasoned Compliance Officer to serve as the designated CCO in the eyes of the CFTC and NFA, with primary ownership of business conduct, supervisory frameworks, and regulatory relationships across both business lines. This individual will partner closely with a dedicated Trade Conduct Compliance professional to deliver a comprehensive, risk-based compliance program.

KEY RESPONSIBILITIES

Regulatory Oversight & CCO Duties

• Serve as the designated CCO for NFA registration purposes across both the prop trading entity and the IB, maintaining full accountability to CFTC and NFA regulatory requirements.
• Own and maintain the firm's Compliance Policies & Procedures Manual (CPPM), ensuring alignment with NFA Compliance Rules, CFTC Regulations, and other applicable requirements.
• Lead NFA examinations, CFTC inquiries, and any regulatory audits end-to-end — from information requests through examination findings and corrective action plans.
• File and manage all required regulatory submissions including NFA Annual Questionnaire, DSRO notifications, and required CFTC reports.
• Monitor and assess evolving CFTC/NFA rulemaking and guidance; communicate regulatory changes to senior management and implement necessary program updates.

Business Conduct & Supervisory Framework

• Design and maintain a robust supervisory system covering all registered persons, branch offices, and Associated Persons (APs) across the IB and prop business.
• Own the customer-facing compliance obligations including onboarding standards, know-your-customer (KYC) and anti-money laundering (AML) program oversight, suitability review, and complaint handling.
• Administer and enforce the firm's Written Supervisory Procedures (WSPs), conducting annual reviews and gap analyses.
• Manage AP registration, licensing, and continuing education obligations in NFA Winjammer/ORS; oversee U-4/U-5 filings and fingerprinting requirements.
• Develop and deliver compliance training programs tailored to futures industry requirements, including AP ethics, AML, and NFA proficiency requirements.
• Oversee and own Outside business activity compliance

AML & Financial Crime Compliance

• Own the firm's AML/BSA program including customer identification (CIP), beneficial ownership, SAR/CTR filing obligations, and OFAC screening protocols.
• Serve as the Anti-Money Laundering Compliance Officer (AMLCO) or designate and oversee that function in accordance with NFA Financial Requirements Section 9.
• Oversee third-party AML review and ensure annual independent testing of the AML program.

Cross-Functional Leadership

• Serve as the primary compliance liaison to legal counsel, auditors, and regulatory bodies.
• Partner with Trade Conduct Compliance on escalated trading alerts, cross-functional investigations, and regulatory inquiries touching both business lines.
• Collaborate with Operations, Risk, Legal, and senior management on new product reviews, business expansion, and strategic initiatives requiring compliance sign-off.

QUALIFICATIONS

Required

• 7+ years of compliance experience within a CFTC/NFA-regulated environment (FCM, IB, CPO, CTA, or prop trading firm).
• Deep working knowledge of NFA Compliance Rules, CFTC Regulations (Parts 1, 3, 4, 5, and 23 as applicable), and Dodd-Frank Title VII obligations.
• Hands-on experience managing NFA examinations, responding to CFTC inquiries, and interfacing directly with DSRO staff.
• Series 3 (National Commodity Futures Examination) — active registration required.
• Proven experience owning AML/BSA programs in a futures or derivatives context.
• Experience with NFA ORS/Winjammer registration systems.
• Demonstrated ability to draft, implement, and maintain Compliance Policies & Procedures and Written Supervisory Procedures in the futures context.

Preferred

• Series 30 (Branch Manager) registration.
• Experience managing compliance for both a prop trading entity and an IB simultaneously.
• Familiarity with CME Group, ICE, and other major DCM rulebooks and surveillance standards.
• CAMS certification a plus.

WHAT WE OFFER

• Competitive base salary commensurate with experience
• Performance-based bonus tied to firm and individual outcomes
• Comprehensive benefits including medical, dental, vision, and 401(k)
• Direct access to senior leadership and meaningful seat at the table
• Dynamic, fast-paced environment at the intersection of prop trading and client-facing business