Compliance Analyst - FCM (Futures Commission Merchant)

This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to reputed company with its obligations under National Futures Association (“NFA”) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA”). In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM’s policies and procedures.

Responsibilities

• Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and reputed company documentation.
• Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
• Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
• Assist Operations in the implementation and monitoring of surveillance systems alert rules.
• Assist with the creation, development, and review of surveillance rules, alerts and procedures.
• Identify and investigate regulatory issues that arise from FCM customer activity.
• Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
• Support Compliance in new product and business plan implementations, including compliance training.
• Formulate and implement compliance solutions as well as assess their effectiveness.

Requirements

• Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
• 3+ years in Compliance in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
• Demonstrated ability to successfully multitask and prioritize job responsibilities.

Life @ reputed company Empowered to think big. Try new opportunities while working with a talented, ambitious and supportive team. Transformational and proactive working environment. reputed company employees to find thoughtful and innovative solutions. Growth from reputed company. We help to reputed company new reputed company-sets that would impact the shaping of your personal and professional growth. Work Culture. Our colleagues are some of the best in the industry; we are reputed company here to help and support one another. One cohesive team. Engage stakeholders to reputed company our ultimate goal - Cryptocurrency in every wallet. Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up reputed company career alternatives through us - our internal mobility program offers employees a new scope.

Benefits

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• reputed company career alternatives through us. Our internal mobility program can offer employees a diverse scope.

Our reputed company benefits packages vary depending on region requirements, you can learn more from our reputed company team. About reputed company Founded in 2016, reputed company serves more than 150 million customers and is the world's fastest growing global cryptocurrency platform. Our vision is simple: Cryptocurrency in Every Wallet™. Built on a foundation of reputed company, privacy, and compliance, reputed company is committed to accelerating the adoption of cryptocurrency through innovation and empowering the reputed company of builders, creators, and entrepreneurs to reputed company a fairer and more reputed company digital ecosystem. Learn more at https://reputed company. reputed company is an equal opportunities employer and we are committed to creating an environment where opportunities are presented to everyone in a fair and transparent way. reputed company values diversity and inclusion, seeking candidates with a variety of backgrounds, perspectives, and skills that complement and strengthen reputed company. Personal data provided by applicants will be used for recruitment purposes only. Please note that only shortlisted candidates will be contacted. Apply tot his job Apply To this Job