Junior Compliance Specialist
Job Summary
Supporting day-to-day compliance and regulatory reporting for a futures brokerage, the full-time Junior Compliance Specialist will monitor adherence to NFA and CFTC requirements, maintain reporting obligations, and assist with regulatory filings while working remotely.
Key responsibilities
- Support monitoring of the firm's adherence to NFA and CFTC requirements and flag potential gaps
- Maintain the reporting obligations register and assist in preparing regulatory filings
- Contribute to the AML program, including customer risk profiling and transaction monitoring
Required qualifications
- 1-2 years of experience in compliance, regulatory reporting, or a related role in financial services
- Degree in finance, economics, law, or a related field, or equivalent experience
- Strong Excel skills, including building trackers and simple dashboards
- Curiosity and willingness to learn the CFTC/NFA rulebook
- Good judgment about when to ask for help or escalate issues
Complete Job Description
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