СШАJunior Compliance & Reporting Specialist
2 дн. назад
70k–80k USD / годСШАJuniorRemote
amlregulatory reportingcompliance monitoring
Support compliance and regulatory reporting activities for a futures brokerage under CFTC and NFA oversight, including monitoring, filings, AML program assistance, and policy documentation.
О компании
- 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.
Обязанности
- 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.
- 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
Требования
- 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 escalate
- 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
Как откликнуться
- 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.
Другое
- 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