Junior Compliance & Reporting Specialist

Job description

## **About Slay Markets** Slay Markets is a modern brokerage built to make trading accessible to everyone. Our clients get research tools, real-time data, and an experience that works the way it should. We’re a growing team of people who care about getting things right, and we hold ourselves to a high standard of integrity. ## **The Role** You’ll join our compliance team supporting day-to-day compliance and regulatory reporting for our futures brokerage, which operates as a Guaranteed Introducing Broker (GIB) under CFTC and NFA oversight. You’ll work closely with senior compliance team members and learn the futures regulatory landscape hands-on, while taking on real responsibility for registers, filings, and reviews. ## **What You’ll Do** - 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 ## **What You Bring** - 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 ## **Experience With** - NFA & CFTC Rulebook - Including: - NFA Compliance Rules 2-29 and 2-36 - NFA Compliance Rule 2-10 and CFTC Regulation 1.31 **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 ## **Why Slay Markets** - 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.