Compliance Analyst - FCM

A company is looking for a Compliance Analyst - FCM (Futures Commission Merchant).

Key Responsibilities

Support the Chief Compliance Officer in governance and implementation of FCM's policies and procedures

Respond to regulatory requests and assist with examinations and audits from NFA, CFTC, and other entities

Conduct surveillance of trading activity to identify potential violations of Exchange rules and CFTC prohibited practices

Required Qualifications

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

Proven ability to manage projects and work independently

Demonstrated ability to multitask and prioritize responsibilities