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PEAK6 · 2 months ago

Senior Compliance Analyst (Futures)

Chicago, IL

Full-time

Hybrid

Mid, Senior Level

$88K/yr - $110K/yr

5+ years exp

Apex Fintech Solutions is a leading provider of digital wealth management solutions, processing millions of transactions daily to facilitate access to financial markets. They are seeking a Senior Compliance Analyst (Futures) to ensure compliance with regulatory standards by interacting with regulators and business stakeholders, documenting and tracking compliance-related updates, and participating in regulatory examinations.

Financial ServicesInformation TechnologyTrading PlatformVenture Capital

Responsibilities

Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines

Respond to exchange examiners, CME, ICE Small Exchange, for the FCM

Interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes

Actively participate in responding to various types of regulatory inquires and participating in regulatory examinations

Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes

Qualification

NFA rules knowledgeCFTC rules knowledgeFINRA Series 3 licenseCompliance experienceInterpersonal skillsWritten communication skillsAttention to detailCritical thinkingOrganizational skills

Required

Bachelor's degree (or equivalent work experience) required

5+ years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred

Experience with NFA and CFTC rules applicable to client communications and regulatory filings

FINRA Series 3 license(s) required

In depth knowledge of applicable NFA and CFTC rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations

Strong interpersonal and written communication skills

Exhibit product knowledge of the futures and options markets

Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail

Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives