Junior Futures Compliance & Reporting Specialist

OpenKrill; United States; Remote; USD 60.000 - 90.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Attention to detail

Written communication

Curiosity to learn

Judgment to ask for help

Ausbildung

Finance/Economics/Law degree or equivalent

CAMS (or willingness to pursue)

Series 3 (or willingness to obtain)

Tools

Excel

Jobbeschreibung

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.