Junior Compliance & Reporting Specialist

Remote – USA. Posted a month ago

The role

You will support day-to-day compliance and regulatory reporting for a futures brokerage. You will work with senior compliance team members to monitor NFA and CFTC requirements and assist with AML programs.

What you will do

Support monitoring of the firm's adherence to NFA and CFTC requirements
Maintain the reporting obligations register and recordkeeping registers
Help prepare regulatory filings and support responses to regulatory inquiries
Assist with the AML program including customer risk profiling and transaction monitoring
Review marketing and promotional materials against NFA Compliance Rule 2-29
Help document policies and procedures and prepare materials for staff training
Contribute to recordkeeping and NFA exam-readiness work
Work with operations, technology, and customer support teams

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 attention to detail and a habit of double-checking your work
Solid Excel skills
Clear written communication
Curiosity and willingness to learn the CFTC/NFA rulebook
Good judgment about when to ask for help or escalate
Experience with NFA & CFTC Rulebook including NFA Compliance Rules 2-29, 2-36, 2-10 and CFTC Regulation 1.31

Nice to have

futures, brokerage, or fintech experience
exposure to NFA rules, CFTC recordkeeping, or BSA/AML
CAMS (or interest in pursuing it)
Series 3 (or willingness to obtain it)
experience with KYC/AML processes, compliance software, or brokerage platforms

Benefits

Performance bonus
Medical, dental, vision, and 401(k) with employer match
Licensing support (including NFA AP registration)
tuition reimbursement

Before you apply

We use AI-assisted tools in recruiting, which may include resume screening, application review, and candidate communication.

About the company

Slay Markets is a modern brokerage built to make trading accessible to everyone. It is a growing team of people who care about getting things right and hold themselves to a high standard of integrity.