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Robert Half Logo Robert Half · IT - Administration

Compliance Consultant - Futures Commission Merchant

United States, New York · Job Posted June 04, 2026
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Job Description

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.

Job Responsibility

  • Assist the CCO in preparing timely responses to NFA and CFTC inquiries, audits, and routine exams
  • Monitor daily trading activity to detect and investigate potential market abuses, wash trading, or spoofing
  • Update, refine, and maintain the FCM’s written supervisory procedures to match evolving crypto-derivatives regulations
  • Create and deliver regulatory compliance training modules for internal staff and associated persons

Requirements

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

Nice to have

Series 3 or Series 7 license

What we offer

  • Medical, vision, dental, and life and disability insurance
  • 401(k) plan
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