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Compliance Analyst

1 month ago

Itasca, United States FinTop Consulting Full time

Role Overview:

We are looking for a specialized Compliance Analyst to maintain focus on areas of compliance supervision and oversight. The compliance team for the Futures Commission Merchant supports the Internal customer service for the business units.


Roles & Responsibilities:


  • In charge of overseeing the company's new accounts department, with the ability to guide trading account openings from start to finish and comprehend several departmental responsibilities involved.
  • As the primary point of contact for questions about commissions, suspense accounts, give-up transactions, and new accounts, among other business areas.
  • Contributing ideas and insights while supporting tactical projects and campaigns Work together with other departments (Risk Management, Operations, Accounting, etc.)
  • Route compliance-related concerns to the proper channels already in place for examination and handling.
  • Identifies possible areas of risk and vulnerability for compliance; manages and ranks departmental incoming inquiries.
  • Proficient in gathering, analyzing, and disseminating information on compliance regulations; can operate independently.
  • Possesses strong multitasking and problem-solving abilities; and maintains timely and consistent attendance.


Expectations & Requirements:


  • A bachelor's degree in business or finance, or an equivalent of years of experience in finance or compliance, is desirable.
  • At least two years of experience in new accounts or compliance, ideally with an IB or FCM
  • Proficiency with Google Docs is a plus.
  • Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment.
  • Knowledge of CFTC, NFA, and exchange rules. Demonstrated ability to work with people in connection with challenging issues.
  • Skillful oral and written communication


How You Can Apply:


You can send an email to pearl@fintop.co.uk with your updated Resume and the contact number.