Compliance Analyst - FCMVirtualVocations • Stockton, California, United States
Compliance Analyst - FCM
VirtualVocations • Stockton, California, United States
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A company is looking for a Compliance Analyst - FCM (Futures Commission Merchant).
Key Responsibilities
Support the Chief Compliance Officer in governance and implementation of FCM's policies and procedures
Respond to regulatory requests and assist with examinations and audits from NFA, CFTC, and other entities
Conduct surveillance of trading activity to identify potential violations of Exchange rules and CFTC prohibited practices
Required Qualifications
Bachelor's degree in Finance, Economics, or Business, or equivalent work experience
3+ years in Compliance in financial services, or equivalent experience
Knowledge of trade surveillance systems is a plus
Proven ability to manage projects and work independently
Demonstrated ability to multitask and prioritize responsibilities
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Compliance Analyst • Stockton, California, United States
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