💼 About This Role

You'll support the Chief Compliance Officer in maintaining governance frameworks for a Futures Commission Merchant, ensuring compliance with CFTC and NFA rules. You'll conduct surveillance of trading activity to detect potential violations and support regulatory audits. This role is ideal for a compliance professional who thrives in regulatory complexity.

🎯 What You'll Do

• Support the CCO in maintaining governance frameworks and FCM policies.
• Assist in responding to regulatory inquiries, audits, and examinations.
• Conduct surveillance of trading activity for rule violations.
• Investigate regulatory issues from customer trading activity.

📋 Requirements

• Bachelor's degree in Finance, Economics, or Business.
• 3+ years of experience in compliance within financial services.
• Strong understanding of CFTC and NFA rules.
• Experience with trade surveillance systems or monitoring tools.

✨ Nice to Have

• Experience with trade surveillance systems or monitoring tools.

🎁 Benefits & Perks

• 💰 Competitive salary: $70,000-$100,000
• 🏥 Comprehensive health benefits: medical, dental, vision.
• 📈 401(k) retirement plan with employer matching.
• 🎉 Paid time off including birthday and work anniversary.
• 🏡 Flexible remote/hybrid work arrangements.

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter Call· 30 min
2. 2Hiring Manager Interview· 45 min
3. 3Compliance Skills Assessment· 60 min