Head of Brokerage Operations - Futures Introducing Broker

About the Role

We’re launching a new futures Introducing Broker (IB) focused on both retail and professional traders. Our IB will leverage the infrastructure, technology, and brand reputation of our profitable proprietary trading firm to deliver a best-in-class customer experience and a modern brokerage model.

As the Head of Brokerage Operations, you’ll lead the operational, regulatory, and technical buildout of the IB. This is a ground-floor leadership role with full ownership over establishing compliant systems, teams, and procedures under CFTC and NFA standards, while designing scalable, tech-forward operations from day one.

Key Responsibilities

Regulatory & Compliance Leadership

• Serve as the firm’s Principal and Associated Person (AP) under NFA/CFTC registration (Series 3 and 30 licenses required).

• Develop and maintain Written Supervisory Procedures (WSPs).

• Oversee all regulatory programs, including AML/KYC, trade surveillance, financial reporting, and business continuity (BCP).

• Coordinate with clearing FCM(s) to ensure all give-up agreements, data feeds, and workflows meet compliance standards.

• Collaborate with the FINOP to supervise Form 1-FR-IB filings and annual audits.

• Partner with the CCO to oversee NFA examinations.

Operational Build-Out

• Architect the operational backbone for a retail-facing futures broker, covering account onboarding, trade reconciliation, and customer service protocols.

• Select, integrate, and manage clearing interfaces, OMS/EMS platforms, compliance systems, and back-office automation tools.

• Build and lead a high-performing operations team capable of scaling to thousands of active accounts.

Financial & Risk Management

• Work with the FINOP to ensure compliance with CFTC Regulation 1.10 (financial and net-capital requirements).

• Maintain robust reconciliation, segregation, and reporting procedures for customer transactions.

• Manage firm-wide risk and control frameworks covering operational and financial exposures.

Strategic Growth

• Support technology development to deliver best-in-class tools for retail customers and enhance sales and marketing initiatives.

• Source and establish new clearing relationships, technology partnerships, and retail marketing channels to drive growth.

• Contribute to educational and promotional content compliant with NFA Rule 2-29.

• Champion a culture of integrity, transparency, and client-first service.

Required Qualifications

• 10+ years of brokerage operations experience — ideally launching or scaling an NFA/CFTC-regulated Introducing Broker or FINRA-regulated Broker-Dealer.

• Deep knowledge of CFTC and NFA compliance and audit processes.

• Series 3 and Series 30 licenses (or ability to obtain within 120 days).

Nice to Have

• Series 7, 57, 99, or 24 licenses.

• Proven track record of building brokerage operations, compliance, and tech infrastructure from the ground up.

• Hands-on leader with strong communication skills and a growth mindset.

• Technical fluency in clearing systems, order routing, and regulatory APIs.

• Bachelor’s degree required; MBA or advanced degree preferred.