Cantor Fitzgerald
Jobs
Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM
Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM
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The Role
Lead and maintain the FCM and Introducing Brokers compliance program, ensure CFTC/CME rule adherence, manage regulatory exams and reporting, enhance surveillance and control frameworks, perform risk-based testing, advise business and tech teams, and deliver targeted compliance training.
Summary Generated by Built In
The Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM role is a critical leadership position within Cantor Fitzgerald Securities. You will be responsible for overseeing compliance across the firm's Energy and Commodities Brokerage business and its Introducing Brokers, as well as serving as the Chief Compliance Officer for the FCM. This role demands a deep understanding of the Energy and Commodities sector and FCM compliance requirements, and you will collaborate closely with various functions to maintain a robust compliance management system.
Responsibilities
- Design, implement, and enhance compliance programs for the FCM and IBs, ensuring alignment with Commodity Exchange Act and CFTC requirements.
- Prepare and submit the CFTC Annual Report for the FCM, including testing results and remediation tracking.
- Partner with Risk to maintain the FCM's risk management program, including independent testing and model/limit governance.
- Enhance trade and communications surveillance, and fair dealing controls for the FCM and IBs.
- Conduct risk-based compliance testing and ongoing monitoring for FCM and IB requirements, tracking findings and corrective actions.
- Serve as the point of contact for FCM and IB regulatory examinations and inquiries, coordinating responses and data production.
- Monitor regulatory developments and industry guidance, driving impact assessments and gap analyses.
- Oversee compliance with books-and-records requirements, including daily trading records and voice/electronic communications retention.
- Provide proactive advisory support to Front Office, Operations, and Technology on FCM/IB rules and regulations.
- Develop and deliver targeted training on regulatory changes and control enhancements to relevant stakeholders.
- Bachelor's degree is required; advanced degree or recognized compliance credential is preferred.
- Minimum of 10 years of experience in compliance, legal, risk, or audit, focused on derivatives or securities at an SD, SBSD, broker-dealer, FCM, or bank.
- Demonstrated expertise in governance, CCO reporting, compliance testing, and management of regulatory exams.
- Strong understanding of business conduct standards, disclosures, suitability, and trading recordkeeping.
- Experience with risk management program requirements, trade surveillance, and escalation frameworks.
- Proficiency in data analysis and control documentation, with experience in reporting/surveillance tools preferred.
- Excellent communication skills, with the ability to explain complex regulations clearly.
- High integrity, sound judgment, and a strong ownership mindset, able to thrive in a fast-paced, control-focused environment.
- Regulatory acumen and practical judgment in applying CFTC and NFA rules.
- Structured problem-solving skills and a collaborative approach to challenging and influencing stakeholders.
Skills Required
- Bachelor's degree
- Advanced degree or recognized compliance credential (e.g., CRCM)
- Minimum of 10 years experience in compliance, legal, risk, or audit focused on derivatives or securities at an SD, SBSD, broker-dealer, FCM, or bank
- Demonstrated expertise in governance, CCO reporting, compliance testing, and management of regulatory exams
- Deep knowledge of Commodity Exchange Act, CFTC and NFA rules applicable to FCMs and Introducing Brokers
- Experience with risk management program requirements, independent testing, model/limit governance, and escalation frameworks
- Experience enhancing trade and communications surveillance and fair dealing controls
- Experience overseeing books-and-records requirements, trading records and communications retention
- Proficiency in data analysis and control documentation
- Familiarity with reporting/surveillance tools
- Excellent communication skills, high integrity, sound judgment, ownership mindset, structured problem solving, collaborative influence
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The Company
What We Do
Cantor Fitzgerald is a leading global financial services firm, serving clients from over 30 offices around the world. Founded in 1945 as a securities brokerage and investment bank, the firm pioneered computer-based bond trading, built one of the broadest distribution networks in the industry and became the market’s premier dealer of government securities. Today, Cantor Fitzgerald is known for its strength across a diverse array of businesses, including equity and fixed income capital markets, investment banking, commercial real estate finance and services, prime brokerage, asset management and wealth management, and e-commerce and online ventures. In all its businesses, the firm is an acknowledged leader in developing advanced technologies to expand market access, and help clients achieve their most important financial and strategic objectives. This commitment to client-centered innovation has led to enduring relationships with many of the world’s most demanding institutional investors and corporations. For more information please visit www.cantor.com.
