Futures Compliance & Reporting Associate

Tradeify; United States; Teletrabalho; USD 65 000 - 95 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Performance bonus

Medical, dental, vision, and 401(k)

Licensing support and tuition reimbur*

Resumo da oferta

Slay Markets is seeking a compliance-focused professional to support day-to-day regulatory reporting for our futures brokerage. You will help maintain registers, assist with filings, and participate in AML activities while learning the CFTC/NFA rulebook.

You’ll work with senior team members to ensure accurate records, timely responses to inquiries, and ongoing process improvements in a growing firm.

Qualificações

• 1–2 years in compliance, regulatory reporting, or related role in financial services.
• Degree in finance, economics, law, or related field, or equivalent experience.
• Strong attention to detail and double-checking work.
• Solid Excel skills for trackers and simple dashboards.
• Clear written communication and readiness to learn CFTC/NFA rules.

Responsabilidades

• Support monitoring of adherence to NFA and CFTC requirements and flag gaps.
• Maintain the obligations register and recordkeeping registers.
• Help prepare regulatory filings and responses to inquiries.
• Assist with AML program: customer risk profiling and monitoring.
• Review marketing materials against NFA Rule 2-29 and escalate questions.
• Document policies/procedures and prepare staff training materials.
• Contribute to recordkeeping and NFA exam-readiness as programs develop.
• Collaborate with operations, technology, and support teams to keep processes running.

Conhecimentos

Regulatory reporting

Attention to detail

Excel

Written communication

Curiosity to learn regulations

Risk assessment

Formação académica

Finance/Economics/Law degree

Equivalent work experience

Ferramentas

Compliance software

KYC/AML tooling

Descrição da oferta de emprego

Slay Markets is seeking a compliance-focused professional to support day-to-day regulatory reporting for our futures brokerage. You will help maintain registers, assist with filings, and participate in AML activities while learning the CFTC/NFA rulebook.

You’ll work with senior team members to ensure accurate records, timely responses to inquiries, and ongoing process improvements in a growing firm.