Compliance Analyst - FCM (Futures Commission Merchant) - Remote

Overview

This is a unique opportunity for a full time Analyst to join our Compliance team, responsible for ensuring compliance with NFA rules and regulations as well as regulations under the Commodity Exchange Act.

In Short

• Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies.
• Respond to NFA, CFTC, Exchange, internal and external audits.
• Conduct surveillance of potential violations of Exchange rules.
• Assist Operations in monitoring surveillance systems.
• Review and develop surveillance rules and procedures.
• Investigate regulatory issues from FCM customer activity.
• Support implementation of AML/KYC and marketing material reviews.
• Assist in new product and business plan compliance training.
• Formulate and implement compliance solutions.
• Assess the effectiveness of compliance solutions.

Requirements

• Bachelor's degree in Finance, Economics, or Business.
• 3+ years in Compliance in financial services.
• Knowledge of trade surveillance systems is a plus.
• Excellent written and oral communication skills.
• Proven ability to manage projects independently.
• Ability to multitask and prioritize responsibilities.

Benefits

• Opportunity to work in a dynamic environment.
• Professional growth and development opportunities.
• Collaborative team culture.
• Engagement with regulatory compliance challenges.
• Supportive leadership.