Compliance Analyst, Futures & Derivatives

Fanatics; New York (NY); On-site; USD 70,000 - 85,000; Full time

Job summary

Fanatics Markets is seeking a Compliance Analyst to support day-to-day compliance operations for Fanatics Markets FCM, reporting to the CCO. This executional role translates regulatory requirements into clear processes with exposure to monitoring, surveillance, and onboarding.

The ideal candidate has 1–3 years in futures/derivatives compliance and knowledge of CFTC/NFA rules. The role involves coordinating regulatory inquiries, maintaining WSPs, and collaborating with marketing and product teams

Qualifications

• 1-3 years of experience in regulatory compliance and/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; able to summarize complex regulatory issues clearly and concisely

Responsibilities

• Assist in implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations
• Monitor new and amended CFTC/NFA rules and DCM/DCO rulebook changes; assess impact and support necessary compliance changes
• Review transaction monitoring alerts and complete resolutions in a timely manner
• Monitor customer risk ratings and incoming complaints; elevate as appropriate
• Complete electronic communication reviews in accordance with supervisory procedures
• Maintain and update compliance policies, procedures, and written supervisory procedures (WSPs)
• Coordinate and prepare responses for regulatory inquiries, examinations, and investigations from the NFA, CFTC, DCMs, and DCOs; maintain records for exam readiness and track remediation items
• Monitor DCM/DCO bulletins and rule updates; summarize and distribute to the compliance team; support related filings and inquiries
• Review marketing materials, promotional content, and customer communications for compliance under NFA Rule 2-29 and applicable CFTC standards; maintain a review log
• Partner with marketing and product teams to flag compliance issues early
• Support the compliance aspects of new product development and rollout
• Assist with AML/KYC reviews, including onboarding documentation and periodic account reviews
• Identify compliance issues proactively and contribute to remedial enhancements to forms, policies, and controls
• Participate in internal working groups and governance forums

Skills

Regulatory compliance

CFTC/NFA rules knowledge

Written & verbal communication

Organizational skills

Cross-functional collaboration

Series 3/NFA exam readiness

Education

Bachelor's degree in Finance/Business/Law

Tools

Transaction monitoring systems

Surveillance tools

Job description

Fanatics Markets is seeking a Compliance Analyst to support day-to-day compliance operations for Fanatics Markets FCM, reporting to the CCO. This executional role translates regulatory requirements into clear processes with exposure to monitoring, surveillance, and onboarding.

The ideal candidate has 1–3 years in futures/derivatives compliance and knowledge of CFTC/NFA rules. The role involves coordinating regulatory inquiries, maintaining WSPs, and collaborating with marketing and product teams