Compliance Analyst - FCM (Futures Commission Merchant)

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Compliance Analyst - FCM (Futures Commission Merchant) in United States.

This role is centered on ensuring robust regulatory compliance within a fast-moving financial trading environment, supporting the governance and oversight of a Futures Commission Merchant (FCM). You will play a key part in monitoring trading activity, identifying potential regulatory risks, and supporting responses to regulatory inquiries and audits. The position combines analytical investigation, regulatory oversight, and operational compliance execution in a highly regulated financial services setting. You will work closely with the Chief Compliance Officer and cross-functional teams to ensure policies, procedures, and surveillance systems are effectively implemented. The environment is fast-paced, detail-driven, and highly collaborative, requiring strong judgment and precision. This role is ideal for a compliance professional who thrives in regulatory complexity and is motivated by maintaining market integrity and operational excellence.

• Support the Chief Compliance Officer in maintaining governance frameworks and ensuring proper implementation of FCM policies, procedures, and supervisory controls.
• Assist in responding to regulatory inquiries, audits, examinations, and reporting requests from authorities such as NFA, CFTC, and exchanges.
• Conduct surveillance of trading activity to detect potential rule violations, including exchange rules and prohibited trading practices.
• Help design, implement, and refine trade surveillance systems, alerts, and monitoring rules in collaboration with operations teams.
• Investigate regulatory issues arising from customer trading activity and escalate findings as appropriate.
• Support AML/KYC compliance processes, including reviews of marketing materials and sales solicitations.
• Contribute to compliance oversight for new products, business initiatives, and internal training programs.
• Assess effectiveness of compliance controls and support continuous improvement of regulatory frameworks.

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Requirements:

• Bachelor’s degree in Finance, Economics, Business, or equivalent professional experience.
• 3+ years of experience in compliance, regulatory oversight, or a related function within financial services.
• Strong understanding of financial markets, trading activity, and regulatory frameworks such as CFTC and NFA rules.
• Experience with trade surveillance systems or monitoring tools is highly desirable.
• Excellent written and verbal communication skills with the ability to document findings clearly and accurately.
• Strong analytical mindset with the ability to investigate complex issues and identify regulatory risks.
• Proven ability to manage multiple tasks, prioritize effectively, and deliver in a fast-paced environment.
• High level of independence, accountability, and attention to detail.

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Benefits:

• Competitive annual salary ranging from $70,000 to $100,000.
• Comprehensive health benefits including medical, dental, vision, and life/disability insurance.
• 401(k) retirement plan with employer matching contributions.
• Attractive paid time off including birthday and work anniversary leave.
• Flexible working arrangements, including remote and hybrid options.
• Internal mobility programs offering career development and growth opportunities.
• Dynamic and collaborative work culture focused on innovation and professional growth.
• Employee support programs promoting wellbeing and continuous learning.