Cantor Fitzgerald · 11 hours ago
Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM
New York, NY
Full-time
Onsite
Director/Executive
10+ years expCantor Fitzgerald is seeking a Head of Compliance for their Energy and Commodities Brokerage business, who will also serve as the Chief Compliance Officer for the firm's FCM. The ideal candidate will oversee compliance programs, partner with various functions to ensure a robust compliance management system, and manage regulatory interactions and reporting.
Commercial Real EstateFinancial ServicesFinTechManagement ConsultingRisk Management
Hiring Manager
Denise Vigliotti Smith
Responsibilities
Maintain and enhance the compliance program consistent with Commodity Exchange Act and CFTC requirements for FCMS and Introducing Brokers
Support the CCO in developing the annual compliance plan, maintaining policies and procedures, and overseeing governance forums, charters, and issue management routines
Coordinate program documentation, regulatory mapping, interpretations, and implementation of new and amended rules
Facilitate compliance training across first and second lines
Preparing the CFTC Annual report for the FCM, including testing results, exceptions, and remediation tracking
Coordinate management certifications, board presentations, and attestations, ensuring timely escalation and governance of material compliance matters
Partner with the Risk function to maintain the FCM risk management program, including independent testing, model/limit governance, and periodic reviews
Enhance trade surveillance, communications surveillance, and fair dealing controls, including calibration and documentation of alerts and escalations
Design and execute risk-based compliance testing and ongoing monitoring for FCM and IB requirements, including trade reporting, business conduct, daily trading records, recordkeeping, and sales/trading practices
Track findings, corrective actions, and target dates; validate remediation; maintain control inventories and RCSAs in coordination with Operational Risk and Internal Audit
Serve as a point of contact for FCM and IBs regulatory examinations and inquiries by the CFTC and NFA, and, as applicable, other SROs
Support timely, accurate responses; coordinate data and document productions; and maintain exam workpapers, responses, and remediation evidence
Monitor regulatory developments, industry guidance, and enforcement actions; drive impact assessments, gap analyses, and implementation workstreams
Oversee compliance with applicable books-and-records requirements, including daily trading records, voice and electronic communications retention, supervisory review, and accessibility/indices requirements
Coordinate system-of-record documentation, data lineage, and change management across reporting and surveillance platforms
Provide proactive advisory support to Front Office, Operations, and Technology on FCM/IB rules, including cross-border and U.S. person analyses, ANE considerations, substituted compliance, and applicability determinations
Develop and deliver targeted training addressing regulatory changes, control enhancements, and exam themes
Qualification
Required
Bachelor's degree required; advanced degree or recognized compliance credential (e.g., CRCM, FRM, CFA, CAIA, ACAMS) a plus
Minimum of 10 years of compliance, legal, risk, or audit experience focused on derivatives or securities compliance at an SD, SBSD, broker-dealer, FCM, bank, or comparable institution
Demonstrated experience with governance and annual CCO reporting processes, compliance testing and monitoring, and management of regulatory exams
Strong understanding of business conduct standards, disclosures, suitability, fair dealing, and daily trading recordkeeping
Experience with risk management program requirements, trade and communications surveillance, and escalation frameworks
Proficiency with data analysis and control documentation; experience with reporting/surveillance tools, data warehouses, and issue tracking systems preferred
Excellent written and verbal communication skills, with an ability to explain complex regulations to diverse stakeholders and produce clear governance documentation
High integrity, sound judgment, and a strong ownership mindset with the ability to operate in a fast-paced, control-focused environment
Preferred
Experience with reporting/surveillance tools, data warehouses, and issue tracking systems preferred
Company
Cantor Fitzgerald
Cantor Fitzgerald is a global financial services firm that specializes in equities, investment banking, and real estate.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Howard Lutnick
Chairman and Chief Executive Officer
Danny Salinas
Senior Managing Director, Global Chief Financial Officer
Recent News
2026-01-25
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