Compliance Analyst

Sky Betting & Gaming

. Assist in implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations .

Posted 9/21/2026full-timeRemote • New York • United StatesJunior💰 $70,000 - $85,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and risk management within the futures and derivatives sectors, with a strong understanding of CFTC regulations and NFA rules. Capable of effectively communicating complex regulatory issues and collaborating cross-functionally to ensure compliance and support new product development.

Highest-signal resume keywords

Regulatory ComplianceRisk ManagementCFTC RegulationsNFA RulesTransaction Monitoring

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Guidance ImplementationEvent Contracts KnowledgeFutures Trading ComplianceAML/KYC ReviewsCompliance Policy Maintenance

Soft Skills

Strong Written CommunicationEffective Organizational SkillsInterpersonal SkillsTime Management

Tools & Technologies

Transaction Monitoring SystemsSurveillance Tools

Certifications & Qualifications

Series 3NFA Swaps Proficiency Exam

Industry Keywords

Commodity Exchange ActFCM EnvironmentNFA Member FirmDCM/DCO RelationshipsMarketing Review

About the role

Key responsibilities & impact

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
Report to the FCM Chief Compliance Officer (CCO)

Requirements

What you’ll need

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 applicable
Bachelor's degree in Finance, Business, Law, or a related field (preferred)
Experience at a registered FCM, NFA member firm, or regulatory agency (CFTC, NFA, or exchange) (preferred)
Exposure to event contracts, DCM/DCO relationships, or marketing review under NFA Rule 2-29 (preferred)
Familiarity with transaction monitoring systems and surveillance tools used in futures markets (preferred)

Benefits

Comp & perks

Full-time employment
Bonus
Benefits information available at https://benefitsatfanatics.com/