Compliance Consultant - Futures Commission Merchant

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 match evolving crypto-derivatives regulations.
• Training Program Development: Create and deliver regulatory compliance training modules for internal staff and associated persons.

Qualifications:

• Experience: 2–5 years of compliance or trade surveillance experience at an FCM, Broker-Dealer, or regulatory body (FINRA/NFA).
• Regulatory Knowledge: Solid understanding of NFA compliance rules or FINRA securities regulations.
• Certifications: Series 3 or Series 7 license is a strong plus.
• Skills: Analytical mindset with the ability to spot trading anomalies and document investigation findings clearly.

Compensation

About Us

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

© 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use and Privacy Notice.