Junior Compliance & Reporting Specialist

OpenKrill; United States; Remote; USD 60,000 - 90,000; Full time

Job summary

Slay Markets is seeking a junior compliance professional to support day-to-day compliance and regulatory reporting for a futures brokerage operating under CFTC/NFA oversight.

You will work with senior team members on registers, filings, and reviews, including AML activities and marketing material reviews. The role offers hands-on experience with regulatory regimes and cross-functional collaboration.

Qualifications

• 1–2 years of experience 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 a habit of double-checking work.
• Solid Excel skills for trackers and simple dashboards.
• Clear written communication and curiosity to learn CFTC/NFA rules.
• Good judgment about when to ask for help.

Responsibilities

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

Skills

Attention to detail

Written communication

Curiosity to learn

Judgment to ask for help

Education

Finance/Economics/Law degree or equivalent

CAMS (or willingness to pursue)

Series 3 (or willingness to obtain)

Tools

Excel

Job description

ABOUT SLAY MARKETS

Slay Markets is a modern brokerage built to make trading accessible to everyone. Our clients get research tools, real-time data, and an experience that works the way it should. We’re a growing team of people who care about getting things right, and we hold ourselves to a high standard of integrity.

THE ROLE

You’ll join our compliance team supporting day-to-day compliance and regulatory reporting for our futures brokerage, which operates as a Guaranteed Introducing Broker (GIB) under CFTC and NFA oversight. You’ll work closely with senior compliance team members and learn the futures regulatory landscape hands-on, while taking on real responsibility for registers, filings, and reviews.

WHAT YOU’LL DO

• Support monitoring of the firm’s adherence to NFA and CFTC requirements, and flag potential gaps to senior team members
• Maintain the reporting obligations register and recordkeeping registers
• Help prepare regulatory filings and support responses to regulatory inquiries
• Assist with the AML program: customer risk profiling, transaction monitoring, and preparing information for suspicious activity reporting
• Review marketing and promotional materials against NFA Compliance Rule 2-29, escalating questions as needed
• Help document policies and procedures and prepare materials for staff training
• Contribute to our recordkeeping and NFA exam-readiness work as the program develops
• Work with operations, technology, and customer support teams to keep compliance processes running smoothly

WHAT YOU BRING

• 1-2 years of experience in compliance, regulatory reporting, or a related role in financial services (futures, brokerage, or fintech experience is a strong plus)
• Degree in finance, economics, law, or a related field, or equivalent experience
• Strong attention to detail and a habit of double-checking your work
• Solid Excel skills (building trackers and simple dashboards)
• Clear written communication
• Curiosity and willingness to learn the CFTC/NFA rulebook, with exposure to NFA rules, CFTC recordkeeping, or BSA/AML a plus
• Good judgment about when to ask for help or (???)

Nice to have: CAMS (or interest in pursuing it) · Series 3 (or willingness to obtain it; we’ll support registration) · experience with KYC/AML processes, compliance software, or brokerage platforms

WHY SLAY MARKETS

• Learn futures compliance from experienced practitioners at a growing firm
• A clear path to grow into broader compliance responsibility as the firm scales
• Performance bonus
• Medical, dental, vision, and 401(k) with employer match
• Licensing support (including NFA AP registration) and tuition reimbursement

OUR HIRING PROCESS

We use AI-assisted tools in recruiting, which may include resume screening, application review, and candidate communication. Final hiring decisions are always made by a person on our team.