Compliance Analyst - FCM
New
United StatesFull-TimeMiddle
Salary70,000 - 100,000 USD per year
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Job Details
- Experience
- 3+ years
- Required Skills
- Compliance
Requirements
- Bachelor’s degree in Finance, Economics, Business, or equivalent professional experience.
- 3+ years of experience in compliance, regulatory oversight, or a related function within financial services.
- Strong understanding of financial markets, trading activity, and regulatory frameworks such as CFTC and NFA rules.
- Experience with trade surveillance systems or monitoring tools is highly desirable.
- Excellent written and verbal communication skills with the ability to document findings clearly and accurately.
- Strong analytical mindset with the ability to investigate complex issues and identify regulatory risks.
- Proven ability to manage multiple tasks, prioritize effectively, and deliver in a fast-paced environment.
- High level of independence, accountability, and attention to detail.
Responsibilities
- Support the Chief Compliance Officer in maintaining governance frameworks and ensuring proper implementation of FCM policies, procedures, and supervisory controls.
- Assist in responding to regulatory inquiries, audits, examinations, and reporting requests from authorities such as NFA, CFTC, and exchanges.
- Conduct surveillance of trading activity to detect potential rule violations, including exchange rules and prohibited trading practices.
- Help design, implement, and refine trade surveillance systems, alerts, and monitoring rules in collaboration with operations teams.
- Investigate regulatory issues arising from customer trading activity and escalate findings as appropriate.
- Support AML/KYC compliance processes, including reviews of marketing materials and sales solicitations.
- Contribute to compliance oversight for new products, business initiatives, and internal training programs.
- Assess effectiveness of compliance controls and support continuous improvement of regulatory frameworks.
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