Treasury Analyst, Regulatory Operations (FCM)
Manages daily treasury operations for a Futures Commission Merchant, including customer fund segregation, cash positioning, wire transfers, and liquidity monitoring in compliance with CFTC regulations. Requires 2-4+ years in treasury/regulatory ops and a Bachelor’s in Finance/Accounting.
What You’ll Do
- Execute and monitor daily customer fund segregation and secured amount calculations in compliance with CFTC regulations
- Manage daily cash positioning to meet customer withdrawal requests, exchange margin requirements, and regulatory minimums
- Initiate, review, and release wire transfers with strict adherence to internal controls and approval workflows
- Support exchange and clearinghouse margin funding, including variation and initial margin movements
- Monitor liquidity and identify potential shortfalls or excesses, escalating issues as needed
- Maintain accurate records of cash movements, collateral, and bank balances across multiple accounts
- Support regulatory reporting, audits, and examinations related to treasury and cash management activities
- Collaborate with Accounting, Compliance, and Operations to ensure accurate, timely, and compliant treasury processes
Who you are
- 2–4+ years of experience in treasury, cash management, regulatory operations, or financial operations within a regulated financial institution (FCM, broker-dealer, clearing firm, bank, etc.)
- Familiar with customer protection or reserve-style calculations (CFTC segregation or SEC Rule 15c3-3 experience highly transferable)
- Strong understanding of cash management processes, wire controls, and bank reconciliation
- Exceptional attention to detail; understands that an error in a calculation or a wire transfer has significant financial and regulatory consequences
- Comfortable in a high-pressure, daily-deadline-driven environment
- Bachelor’s degree in Finance, Accounting, or a related field
- Independent and understands the importance of segregation of duties, reporting directly into the finance vertical and remaining separate from the trading desk
Even better if you have
- Direct experience preparing daily segregation or secured amount computations
- Experience with regulatory reporting portals (e.g., NFA WinJammer or FINRA FOCUS systems)
- Familiarity with CFTC Regulations §1.20–1.32
- CTP (Certified Treasury Professional) designation
- Experience working with exchanges, clearinghouses, or margin funding
Compensation
Target starting base salary range: $90,000 - $100,000, plus target equity.
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