Compliance Analyst

Deadline: 11 November 2024
Job Type: Permanent
Contact Email:
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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.

1. Overseeing the company's new accounts department, guiding trading account openings from start to finish and comprehending several departmental responsibilities involved.
2. Acting as the primary point of contact for questions about commissions, suspense accounts, give-up transactions, and new accounts, among other business areas.
3. Contributing ideas and insights while supporting tactical projects and campaigns.
4. Working with other departments (Risk Management, Operations, Accounting, etc.).
5. Routing compliance-related concerns to the proper channels for examination and handling.
6. Identifying possible areas of risk and vulnerability for compliance; managing and ranking departmental incoming inquiries.
7. Gathering, analyzing, and disseminating information on compliance regulations; capable of operating independently.
8. Possessing strong multitasking and problem-solving abilities; maintaining timely and consistent attendance.
9. A bachelor's degree in business or finance, or equivalent years of finance or compliance experience, is desirable.
10. At least two years of experience in new accounts or compliance, ideally with an IB or FCM.
11. Proficiency with Google Docs is a plus.
12. Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment.
13. Knowledge of CFTC (Commodity Futures Trading Commission), NFA, and exchange rules.
14. Demonstrated ability to work with people in connection with challenging issues.