Compliance Analyst
New
F
Fanatics Betting & GamingFinancial Services
RemoteFull-TimeMiddle
Salary70,000 - 85,000 USD per year
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Job Details
- Experience
- 1-3 years
- Required Skills
- Risk Management
Requirements
- 1-3 years of experience in regulatory compliance or risk management within a futures, derivatives, or FCM environment.
- Foundational knowledge of the Commodity Exchange Act, CFTC regulations, and NFA/exchange rules.
- Strong written and verbal communication skills.
- Effective organizational and time management skills.
- Ability to work cross-functionally with colleagues and external counterparties.
- Willingness to obtain Series 3 and/or the NFA Swaps Proficiency Exam.
- Bachelor's degree in Finance, Business, Law, or a related field preferred.
- Experience at a registered FCM, NFA member firm, or regulatory agency preferred.
- Exposure to event contracts, DCM/DCO relationships, or marketing review preferred.
- Familiarity with transaction monitoring systems and surveillance tools preferred.
Responsibilities
- Implement regulatory guidance on event contracts, futures, and swaps trading.
- Monitor CFTC/NFA rules and DCM/DCO rulebook changes.
- Review transaction monitoring alerts and conduct resolutions.
- Monitor customer risk ratings and handle complaints.
- Perform electronic communication reviews.
- Maintain compliance policies, procedures, and written supervisory procedures (WSPs).
- Coordinate responses for regulatory inquiries and examinations.
- Review marketing materials and promotional content for compliance.
- Assist with AML/KYC reviews, including onboarding and periodic account reviews.
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