Job Description

To maintain focus on areas of compliance supervision and oversight, we are looking for a specialized Compliance Analyst. The compliance team for the Futures Commission Merchant supports the Internal customer service for the business units. 

Roles & Responsibilities: 

• In charge of overseeing the company's new accounts department, with the ability to guide trading account openings from start to finish and comprehend several departmental responsibilities involved.  
• As the primary point of contact for questions about commissions, suspense accounts, give-up transactions, and new accounts, among other business areas.  
• Contributing ideas and insights while supporting tactical projects and campaigns 
• Work with other departments (Risk Management, Operations, Accounting, etc.) 
• Route compliance-related concerns to the proper channels already in place for examination and handling.  
• Identifies possible areas of risk and vulnerability for compliance; manages and ranks departmental incoming inquiries. 
• Proficient in gathering, analyzing, and disseminating information on compliance regulations; can operate independently.  
• Possesses strong multitasking and problem-solving abilities; and maintains timely and consistent attendance. 

Expectations & Requirements: 

• A bachelor's degree in business or finance, or equivalent years of finance or compliance experience, is desirable.  
• At least two years of experience in new accounts or compliance, ideally with an IB or FCM  
• Proficiency with Google Docs is a plus. 
• Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment. 
• Knowledge of CFTC (Commodity Futures Trading Commission), NFA, and exchange rules. 
• Demonstrated ability to work with people in connection with challenging issues.  
• Skillful oral and written communication