Junior Compliance & Reporting Specialist

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

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 escalation

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.