Fanatics Betting & Gaming - Compliance Analyst (Hybrid or remote)

New York, NY, United States$70k - $70k3w ago

In Office Junior NA Banking Fintech Blockchain Compliance Analyst Product Marketing Reporting Regulatory Compliance Risk Management Documentation

Requirements

• Required• 1-3 years of experience in regulatory compliance and/or risk management within a futures, derivatives, or FCM environment, at a financial services firm, regulatory agency, or SRO• Foundational knowledge of the Commodity Exchange Act, CFTC regulations, and NFA/exchange rules• Strong written and verbal communication skills; able to summarize complex regulatory issues clearly and concisely• Effective organizational and time management skills; able to prioritize independently in a fast-paced environment• Strong interpersonal skills; able to work cross-functionally with colleagues and external counterparties• Willingness to obtain Series 3 and/or the NFA Swaps Proficiency Exam as applicablePreferred• Experience at a registered FCM, NFA member firm, or regulatory agency (CFTC, NFA, or exchange)• Exposure to event contracts, DCM/DCO relationships, or marketing review under NFA Rule 2-29• Familiarity with transaction monitoring systems and surveillance tools used in futures markets• Bachelor's degree in Finance, Business, Law, or a related field • Preferred • For information about our benefits, please visit https://benefitsatfanatics.com/ • Ranges will change based on country and state of residence, which are reflected in Geographical Zones defined by Fanatics Betting and Gaming. The range incorporates all of our Geographical Compensation Zones and is subject to change as the Zone associated with the actual offer is confirmed. In addition to the base and bonus, full-time employment, and more. For information about our benefits, please visit https://benefitsatfanatics.com/ • $70,000—$85,000 USD • By submitting your application, you agree to our terms of service and acknowledge you have read our Candidate Privacy Policy. • Fanatics will never ask candidates for money, banking information, or other sensitive personal information as part of the interview process. If you receive a suspicious message claiming to be from Fanatics recruiting, please do not respond and report it here.

Responsibilities

• Assist in implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations• Monitor new and amended CFTC/NFA rules and DCM/DCO rulebook changes; assess impact and support necessary compliance changes• Review transaction monitoring alerts and complete resolutions in a timely manner• Monitor customer risk ratings and incoming complaints; escalate as appropriate• Complete electronic communication reviews in accordance with supervisory procedures• Maintain and update compliance policies, procedures, and written supervisory procedures (WSPs)• Coordinate and prepare responses for regulatory inquiries, examinations, and investigations from the NFA, CFTC, DCMs, and DCOs; maintain records for exam readiness and track remediation items• Monitor DCM/DCO bulletins and rule updates; summarize and distribute to the compliance team; support related filings and inquiries• Review marketing materials, promotional content, and customer communications for compliance under NFA Rule 2-29 and applicable CFTC standards; maintain a review log• Partner with marketing and product teams to flag compliance issues early• Support the compliance aspects of new product development and rollout• Assist with AML/KYC reviews, including onboarding documentation and periodic account reviews• Identify compliance issues proactively and contribute to remedial enhancements to forms, policies, and controls• Participate in internal working groups and governance forums

Benefits

• $70,000—$85,000 USD • By submitting your application, you agree to our terms of service and acknowledge you have read our Candidate Privacy Policy. • Fanatics will never ask candidates for money, banking information, or other sensitive personal information as part of the interview process. If you receive a suspicious message claiming to be from Fanatics recruiting, please do not respond and report it here.