Compliance Analyst - FCM (Futures Commission Merchant)
Description:
• Support the Chief Compliance Officer with governance, policy implementation, written supervisory procedures, and related documentation for the FCM.
• Respond to NFA, CFTC, Exchange, internal, and external exams, audits, reports, and regulatory requests.
• Conduct surveillance of potential Exchange rule violations and CFTC prohibited trading practices by reviewing order and trading activity alerts.
• Assist Operations with the implementation and monitoring of surveillance system alert rules.
• Help create, develop, and review surveillance rules, alerts, and procedures.
• Identify and investigate regulatory issues arising from FCM customer activity.
• Support AML/KYC reviews, sales solicitation oversight, and marketing material reviews.
• Support compliance for new product launches and business plan implementations, including compliance training.
• Formulate compliance solutions and assess the effectiveness of implemented controls.
Requirements:
• Bachelor's degree in Finance, Economics, Business, or equivalent work experience.
• 3+ years of compliance experience in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus.
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently in a fast-paced environment.
• Demonstrated ability to multitask and prioritize responsibilities effectively.
• Experience supporting regulatory exams, audits, or regulatory requests is preferred.
• Familiarity with AML/KYC processes is preferred.
Benefits:
• Competitive salary of $70,000 - $100,000 per year.
• Attractive annual leave entitlement, including birthday and work anniversary leave.
• 401(k) plan with employer match.
• Company-sponsored group health, dental, vision, and life/disability insurance.
• Flexi-work hours with hybrid or remote setup.
• Internal mobility program and career growth opportunities.
• Supportive, collaborative work culture with opportunities for professional development.
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• Support the Chief Compliance Officer with governance, policy implementation, written supervisory procedures, and related documentation for the FCM.
• Respond to NFA, CFTC, Exchange, internal, and external exams, audits, reports, and regulatory requests.
• Conduct surveillance of potential Exchange rule violations and CFTC prohibited trading practices by reviewing order and trading activity alerts.
• Assist Operations with the implementation and monitoring of surveillance system alert rules.
• Help create, develop, and review surveillance rules, alerts, and procedures.
• Identify and investigate regulatory issues arising from FCM customer activity.
• Support AML/KYC reviews, sales solicitation oversight, and marketing material reviews.
• Support compliance for new product launches and business plan implementations, including compliance training.
• Formulate compliance solutions and assess the effectiveness of implemented controls.
Requirements:
• Bachelor's degree in Finance, Economics, Business, or equivalent work experience.
• 3+ years of compliance experience in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus.
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently in a fast-paced environment.
• Demonstrated ability to multitask and prioritize responsibilities effectively.
• Experience supporting regulatory exams, audits, or regulatory requests is preferred.
• Familiarity with AML/KYC processes is preferred.
Benefits:
• Competitive salary of $70,000 - $100,000 per year.
• Attractive annual leave entitlement, including birthday and work anniversary leave.
• 401(k) plan with employer match.
• Company-sponsored group health, dental, vision, and life/disability insurance.
• Flexi-work hours with hybrid or remote setup.
• Internal mobility program and career growth opportunities.
• Supportive, collaborative work culture with opportunities for professional development.
Apply tot his job
Apply To this Job