Compliance Analyst
New
United StatesFull-TimeMiddle
Salary70,000 - 100,000 USD per year
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Job Details
- Experience
- 3+ years
- Required Skills
- Project ManagementCompliance
Requirements
- Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
- 3+ years in Compliance 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 to bring projects to completion in a fast-paced environment.
- Demonstrated ability to successfully multitask and prioritize job responsibilities.
Responsibilities
- Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation.
- Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
- Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
- Assist Operations in the implementation and monitoring of surveillance systems alert rules.
- Assist with the creation, development, and review of surveillance rules, alerts and procedures.
- Identify and investigate regulatory issues that arise from FCM customer activity.
- Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
- Support Compliance in new product and business plan implementations, including compliance training.
- Formulate and implement compliance solutions as well as assess their effectiveness.
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