Compliance Analyst - FCM

Job Summary

A company is looking for a Compliance Analyst - FCM (Futures Commission Merchant).

Key Responsibilities

• Support the Chief Compliance Officer in governance and implementation of FCM's policies and procedures
• Respond to regulatory requests and assist in audits, exams, and reports
• Conduct surveillance of trading activity and investigate regulatory issues from customer activity

Required Qualifications

• 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
• Proven ability to manage projects independently in a fast-paced environment
• Demonstrated ability to multitask and prioritize responsibilities