Compliance Analyst, Finance & Banking

Compliance Analyst Position Purpose

The Compliance Analyst will support various functions including reviewing and responding to regulatory requests and exams (NFA, CFTC, various futures exchanges) and working within the business with relevant teams or departments to remediate any adverse regulatory findings, where applicable.

Role expectations will include the Compliance Analyst liaising with departments, brokers, and other groups to generate complete, accurate, and timely productions responsive to requests for information. As the scope of requests can range from broad to specific across various areas of the business, it is the expectation that the Compliance Analyst will gain familiarity with their work both via internal discussions and independent research so that they will be able to answer questions and add value to the intended submissions.

The Compliance Analyst will maintain current knowledge of CFTC regulations, NFA and derivative exchange rules, and internal policies to provide guidance to business lines and to perform thorough monitoring.

• Serve as the central point of contact for requests for information from regulatory authorities, including the CFTC, NFA, and futures exchanges.
• Apply critical thinking to draft productions to ensure responses are complete and accurate, follow up with SMEs as necessary, issue spot and elevate relevant details to management based on the nature of the inquiry.
• Maintain an organized, centralized log of regulatory requests, open examinations, and other obligations of the Firm, including the request number, the request due date, and other relevant details.
• Maintain organized, centralized files for each request, examination, and other obligations of the Firm for ease of access and referral, accessible by both your immediate team, Legal, and management.
• Manage requests through their lifecycle ensuring that delays are sufficiently mitigated.
• Timely remediation of regulatory findings and risks with relevant departments within the organization.

To land this role you will need:

• Experience in a compliance, regulatory, or related financial industry profession. Suitable education may be substituted for experience.
• Familiarity with industry rules, regulations, and market structure (e.g., CFTC, NFA, CME, and ICE).
• Analytical and detail-oriented with the ability to interpret rules and regulations and practically apply them to relevant inquiries.
• Able to work on multiple projects and assignments at the same time and prioritize appropriately to meet deadlines.
• Strong written and oral communication skills. Able to succinctly communicate complex concepts in an easy-to-understand manner.
• Build and maintain good working relationships with internal contacts.
• High proficiency with desktop applications and MS Office suite of products, including Excel.
• Strong ability to learn new concepts and systems integral to the Firm's operations.

• Bachelor's Degree required (suitable experience may be substituted for formal education). A major in financial area such as Finance, Accounting, Economics, or Business Administration preferred.

• Onsite 4 days per week, remote once per week.
• Comfortable working in a collaborative small-team environment.

Hiring Salary Range $80,000 - $85,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data. Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.