Junior Compliance & Reporting Specialist

This is a fully remote position, open to applicants in United States.

📋 Description

• Assist in monitoring the firm's compliance with NFA and CFTC regulations and identify potential gaps.

• Manage the reporting obligations register and maintain recordkeeping registers.

• Aid in the preparation of regulatory filings and support responses to inquiries from regulatory bodies.

• Contribute to the AML program, which includes customer risk assessments, transaction monitoring, and compiling information for suspicious activity reporting.

• Evaluate marketing and promotional materials in accordance with NFA Compliance Rule 2-29 and escalate inquiries as necessary.

• Help in documenting policies and procedures and create training materials for staff.

• Participate in recordkeeping and preparations for NFA examinations.

• Collaborate with operations, technology, and customer support teams to ensure seamless compliance processes.

• Provide daily support for compliance and regulatory reporting for a futures brokerage functioning as a Guaranteed Introducing Broker under CFTC and NFA oversight.

⛳️ Requirements

• 1–2 years of experience in compliance, regulatory reporting, or a related position within the financial services sector.

• Experience in futures, brokerage, or fintech is highly advantageous.

• A degree in finance, economics, law, or a related area, or equivalent professional experience.

• Exceptional attention to detail and a consistent practice of double-checking work.

• Proficient in Excel, including the ability to create trackers and basic dashboards.

• Strong written communication skills.

• Eagerness to learn about the CFTC/NFA rulebook.

• Familiarity with NFA regulations, CFTC recordkeeping, or BSA/AML is desirable.

• Good judgment regarding when to seek assistance or escalate issues.

• CAMS certification is beneficial or a willingness to pursue it.

• Series 3 certification is a plus or readiness to obtain it.

• Experience with KYC/AML processes, compliance software, or brokerage platforms is a plus.

• Must reside within the United States.

• Willingness to work flexible hours to facilitate collaboration across various time zones, including the U.S., if necessary.

🏝️ Benefits

• Performance bonus.

• Medical insurance.

• Dental insurance.

• Vision insurance.

• 401(k) with employer contribution.

• Support for licensing, including NFA AP registration.

• Tuition reimbursement.

• Clear opportunities for advancement into broader compliance roles.

• Gain knowledge in futures compliance from seasoned professionals.