Compliance Analyst

4 weeks ago

Itasca, United States Plus500™ Full time

Compliance Analyst


Plus500 is looking for a full time Compliance Analyst to join the Itasca, IL office.


The Group:

Plus500 is a global multi-asset fintech group operating technology-based trading platforms. Plus500 offers customers a range of trading products, including Over-The-Counter ("OTC") and share dealing, as well as futures and options on futures in the US.


The Position: Compliance Analyst

We are seeking a dedicated Compliance Analyst to monitor areas of compliance oversight and supervision. This also includes internal customer service to the business units supported by the compliance team devoted to the Futures Commission Merchant.



Job Requirements:

  • Bachelor’s degree in Finance or Business or equivalent years’ experience in finance or compliance preferred
  • At least 2 years new accounts or compliance experience preferably with an FCM or IB
  • Knowledge of CFTC, NFA, and exchange rules
  • Demonstrated ability working with people in connection with challenging issues
  • Strong organization skills along with attention to detail
  • Proficiency using Google Docs is a plus
  • Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment.
  • Effective written and oral communication skills


Primary Responsibilities:

  • Aiding and supporting the compliance department with oversight of customers and introducing broker relationships.
  • Aiding in the development and implementation of compliance training
  • Reviewing and approving promotional materials
  • Aiding in compliance monitoring of customer accounts and trading
  • Providing insight and ideas while assisting with strategic projects and initiatives
  • Collaborate with other departments (e.g., Risk Management, Operations, Accounting, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Identifies potential areas of compliance vulnerability and risk
  • Manage and prioritize departmental inbound inquiries
  • Skilled in researching, interpreting, and disseminating information on compliance regulations
  • Ability to work independently
  • Strong multitasking and problem solving skills
  • Maintains prompt and regular attendance

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