Futures Compliance Senior Specialist

Quick Facts

• Role: Futures Compliance Senior Specialist (hands-on compliance program owner for a futures/derivatives business)
• Reporting: Directly to the Chief Compliance Officer (RHD)
• Location: Chicago, IL (in-person at least 3 days/week)

Description

Support and strengthen the day-to-day futures compliance program under the Commodity Exchange Act, CFTC regulations, and NFA rules. The role includes supervision and controls (WSPs), product and marketing compliance reviews, regulatory examinations responses, and ongoing obligations such as the NFA annual self-examination. You will also manage AP registration, trade surveillance escalations, customer complaint adjudication, and compliance monitoring/reporting as the business grows.

Responsibilities

• Design, operate, and test the futures compliance program
• Draft, update, and maintain Written Supervisory Procedures (WSPs), policies, and internal controls
• Advise Product, Engineering, Operations, and Legal on futures/options on futures/event contract regulatory requirements, including disclosures and customer flows
• Review and approve marketing, social media, and communications for NFA/CFTC compliance (Red Oak workflow)
• Respond to NFA, CFTC, exchange, and clearing firm examination inquiries; track remediation to closure
• Handle Associated Person (AP) registration (Series 3 testing/registration) and file NFA Forms 8-R and 8-T in NFA’s Online Registration System; keep records current
• Respond to 4g requests
• Support regulatory filings and recurring obligations, including NFA annual self-examination and required notices/reports
• Support CFTC Regulation 1.11 risk management program requirements; contribute to monitoring, testing, and reporting
• Review and escalate trade surveillance and monitoring alerts; investigate and document outcomes
• Own customer complaint intake, investigation, resolution, documentation, and trend reporting for the futures business
• Support KYC and customer onboarding processes for the futures business
• Track CFTC/NFA/exchange rule changes and translate them into practical guidance
• Contribute to annual CCO report, Board reporting, and compliance training

Requirements

• 3–5 years of compliance experience in financial services with direct futures/derivatives experience at an FCM, introducing broker, exchange, clearing firm, or regulator (NFA or CFTC)
• Ability to obtain NFA Series 3 within 90 days of hire
• Working knowledge of the Commodity Exchange Act, CFTC regulations, and NFA rules (including supervision requirements and communications/promotion standards)
• Experience supporting regulatory examinations and responses to findings/document requests
• Experience drafting and maintaining WSPs, policies, and compliance procedures
• Ability to interpret complex rules and provide clear, well-documented guidance to fast-moving business partners
• Strong written and verbal communication with high attention to detail

Benefits

• Performance-driven compensation with multipliers, bonus programs, equity ownership, and 401(k) matching
• Top-tier benefits, including 100% paid health insurance for employees and 90% coverage for dependents
• Access to top AI tools and continuous AI skill-building
• Flexible benefits spending account (Lifestyle wallet)
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Paid time off, sick time, parental leave, and company holidays
• Exceptional office experience with catered meals and events