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Compliance Analyst, Futures Commission Merchant
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The role
Join a Governance, Risk, and Compliance team to support Futures Commission Merchant regulatory programs for a joint venture.
Implement practical regulatory guidance on futures and swaps trading, including retail and margin requirements.
Review transaction monitoring alerts and complete appropriate resolutions.
Monitor customer risk ratings and incoming complaints; conduct electronic communications reviews.
Contribute to roll-out of new trading products and services and respond to regulatory inquiries.
Maintain policies, track rule changes, participate in governance forums, and ensure timely, well-documented compliance actions.
Implement practical regulatory guidance on futures and swaps trading, including retail and margin requirements.
Review transaction monitoring alerts and complete appropriate resolutions.
Monitor customer risk ratings and incoming complaints; conduct electronic communications reviews.
Contribute to roll-out of new trading products and services and respond to regulatory inquiries.
Maintain policies, track rule changes, participate in governance forums, and ensure timely, well-documented compliance actions.
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