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Junior Compliance and Reporting Specialist
Support NFA and CFTC reporting and anti-money laundering processes as a junior compliance specialist. Help maintain compliance at a modern futures brokerage.
Apraksts
- Monitor the firm’s compliance with NFA and CFTC requirements, and flag potential gaps.
- Maintain registers tracking reporting obligations and recordkeeping.
- Assist with regulatory filings and responses to regulatory inquiries.
- Support the anti-money laundering program through customer risk profiling, transaction monitoring, and preparation of information for suspicious activity reports.
- Review marketing materials under NFA Compliance Rule 2-29 and escalate questions as needed.
- Document policies and procedures, and prepare staff training materials.
- Support recordkeeping and readiness for NFA examinations.
- Coordinate with operations, technology, and customer support teams to keep compliance processes running smoothly.
- Handle day-to-day compliance and regulatory reporting for a futures brokerage operating as a Guaranteed Introducing Broker under CFTC and NFA oversight.
Prasības
- Bring 1–2 years of experience in compliance, regulatory reporting, or a related financial services role.
- Experience in futures, brokerage, or fintech is an advantage.
- Have a degree in finance, economics, law, or a related field, or equivalent experience.
- Pay close attention to detail and routinely double-check your work.
- Use Excel confidently, including to build trackers and simple dashboards.
- Communicate clearly in writing.
- Be curious and ready to learn CFTC and NFA regulations.
- Exposure to NFA rules, CFTC recordkeeping, or BSA/AML is an advantage.
- Use sound judgment about when to seek help or escalate an issue.
- CAMS certification is a plus; interest in pursuing it is also welcome.
- Series 3 is a plus, or be willing to obtain it.
- Experience with KYC/AML processes, compliance software, or brokerage platforms is a plus.
- Be located in the United States.
- Be open to flexible hours for collaboration across time zones, including U.S. time zones, when needed.
Priekšrocības
- Performance bonus
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k) with employer match
- Licensing support, including NFA AP registration
- Tuition reimbursement
- Opportunity to grow into broader compliance responsibilities
- Learn futures compliance from experienced practitioners