Compliance Analyst - FCM

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