Compliance Analyst – FCM, Futures Commission Merchant
Crypto.com
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteSalary
💰 $70,000 - $100,000 per year
Job Level
Mid-LevelSenior
About the role
- Support the Chief Compliance Officer in overseeing governance and implementation of FCM’s policies and procedures, written supervisory procedures, and related documentation.
- Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
- Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
- Assist Operations in the implementation and monitoring of surveillance systems alert rules.
- Assist with the creation, development, and review of surveillance rules, alerts and procedures.
- Identify and investigate regulatory issues that arise from FCM customer activity.
- Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
- Support Compliance in new product and business plan implementations, including compliance training.
- Formulate and implement compliance solutions as well as assess their effectiveness.
Requirements
- Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
- 3+ years in Compliance in financial services, or equivalent experience.
- Knowledge of trade surveillance systems is a plus
- Excellent written and oral communication skills.
- Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
- Demonstrated ability to successfully multitask and prioritize job responsibilities.
Benefits
- Competitive salary
- Attractive annual leave entitlement including: birthday, work anniversary
- 401(k) plan with employer match
- Eligible for company-sponsored group health, dental, vision, and life/disability insurance
- Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
- Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
trade surveillance systemscompliance solutionsAMLKYCregulatory compliancepolicy implementationaudit responserisk assessmentproject managementregulatory issue investigation
Soft skills
written communicationoral communicationproject managementindependent workmultitaskingprioritizationattention to detailproblem-solvingcollaborationadaptability