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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance and regulatory reporting within the financial services sector, with a focus on NFA and CFTC requirements. Proficient in AML processes, recordkeeping, and effective communication to support compliance initiatives.
Highest-signal resume keywords
Compliance MonitoringRegulatory ReportingAML Program SupportNFA Rules KnowledgeExcel Proficiency
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory FilingsTransaction MonitoringCustomer Risk ProfilingRecordkeepingKYC ProcessesCompliance SoftwareBrokerage PlatformsPolicy DocumentationData TrackingDashboard Creation
Soft Skills
Attention to DetailClear Written CommunicationCuriosityGood JudgmentWillingness to Learn
Certifications & Qualifications
CAMSSeries 3
Industry Keywords
NFACFTCFinancial ServicesFutures BrokerageFintechBSA/AMLCompliance Rule 2-29Regulatory InquiriesExam-ReadinessCustomer Support
About the role
Key responsibilities & impact- Support monitoring of the firm’s adherence to NFA and CFTC requirements and flag potential gaps
- Maintain the reporting obligations register and recordkeeping registers
- Help prepare regulatory filings and support responses to regulatory inquiries
- Assist with the AML program, including customer risk profiling, transaction monitoring, and preparing information for suspicious activity reporting
- Review marketing and promotional materials against NFA Compliance Rule 2-29 and escalate questions as needed
- Help document policies and procedures and prepare staff training materials
- Contribute to recordkeeping and NFA exam-readiness work
- Work with operations, technology, and customer support teams to keep compliance processes running smoothly
- Support day-to-day compliance and regulatory reporting for a futures brokerage operating as a Guaranteed Introducing Broker under CFTC and NFA oversight
Requirements
What you’ll need- 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 habit of double-checking work
- Solid Excel skills, including building trackers and simple dashboards
- Clear written communication
- Curiosity and willingness to learn the CFTC/NFA rulebook
- Exposure to NFA rules, CFTC recordkeeping, or BSA/AML is a plus
- Good judgment about when to ask for help or escalate
- CAMS is nice to have or interest in pursuing it
- Series 3 is nice to have or willingness to obtain it
- Experience with KYC/AML processes, compliance software, or brokerage platforms is nice to have
- Must be located within the United States
- Open to working flexible hours to support collaboration across time zones, including the U.S., if needed
Benefits
Comp & perks- Performance bonus
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k) with employer match
- Licensing support, including NFA AP registration
- Tuition reimbursement
- Clear path to grow into broader compliance responsibility
- Learn futures compliance from experienced practitioners