Entry Level Compliance Analyst

Entry Level Compliance Analyst

Derivatives North America ("CDNA") presents a unique opportunity for a full time Compliance Analyst to join our Compliance team. CDNA is a U.S. derivatives exchange registered with and regulated by the CFTC as a contract market and clearing organization. CDNA currently offers fully-collateralized event contracts and will be offering traditional futures products in the near future. The Compliance Department is responsible for ensuring that CDNA continues to comply with its obligations under the Commodity Exchange Act ("CEA").

In this position you will be responsible for handling inquiries related to CDNA rules and membership obligations, and compliance with CFTC regulations. Additionally, this position will be responsible for conducting investigations into potential CDNA rule violations, performing various compliance-related audits and monitoring, and handling other compliance-related functions.

Responsibilities

Conduct compliance ad-hoc monitoring for potential rule violations or concerning activities related to trading activity, money-laundering and fraud, and other Nadex rule violations.

Exhibit strong written and verbal communication skills and routinely communicate with market participants regarding compliance-related functions and investigative responsibilities.

Communicate compliance analysis and findings to department management and staff, and to other members of the business.

Perform AML / KYC, sales solicitations, and marketing material reviews.

Monitor and respond to customer and internal questions for Compliance.

Conduct and document investigations into potential violations of Exchange rules and / or CFTC regulations.

Prepare written reports that are reviewed by management staff or presented to Exchange committees.

Support the Chief Compliance Officer and senior compliance staff in audit and regulatory requests from the CFTC and Internal Audit.

Requirements

Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.

Minimum 1-3 years in Compliance in financial services, or equivalent experience.

Should have working knowledge of CFTC Regulations for Designated Contract Markets (DCM) and Derivatives Clearing Organizations (DCO).

Excellent written and oral communication skills.

Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.

Demonstrated ability to successfully multitask and prioritize job responsibilities.

Intermediate experience with MS Outlook, MS Word, and MS Excel.