tradeify - Junior Compliance & Reporting Specialist

United States of America$70k - $80k2w ago

Remote Junior NA Fintech Compliance Officer Regulatory Affairs Specialist Reporting Excel

Requirements

• 1–2 years of experience in compliance, regulatory reporting, or a related role in financial services (futures, brokerage, or fintech experience is a strong plus) • 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 (building trackers and simple dashboards) • Clear written communication • Curiosity and willingness to learn the CFTC/NFA rulebook, with exposure to NFA rules, CFTC recordkeeping, or BSA/AML a plus • Good judgment about when to ask for help or escalate • Nice to have: CAMS (or interest in pursuing it) · Series 3 (or willingness to obtain it; we’ll support registration) · experience with KYC/AML processes, compliance software, or brokerage platforms

Responsibilities

• Support monitoring of the firm’s adherence to NFA and CFTC requirements, and flag potential gaps to senior team members • Maintain the reporting obligations register and recordkeeping registers • Help prepare regulatory filings and support responses to regulatory inquiries • Assist with the AML program: customer risk profiling, transaction monitoring, and preparing information for suspicious activity reporting • Review marketing and promotional materials against NFA Compliance Rule 2-29, escalating questions as needed • Help document policies and procedures and prepare materials for staff training • Contribute to our recordkeeping and NFA exam-readiness work as the program develops • Work with operations, technology, and customer support teams to keep compliance processes running smoothly

Benefits

• Learn futures compliance from experienced practitioners at a growing firm • A clear path to grow into broader compliance responsibility as the firm scales • Performance bonus • Medical, dental, vision, and 401(k) with employer match • Licensing support (including NFA AP registration) and tuition reimbursement • OUR HIRING PROCESS • We use AI-assisted tools in recruiting, which may include resume screening, application review, and candidate communication. Final hiring decisions are always made by a person on our team.