Compliance Analyst - FCM (Futures Commission Merchant)

CME Group • New York, NY

3d

About The Position

Join the Governance, Risk, and Compliance (GRC) team, a dynamic, high-impact group committed to maintaining the integrity and stability of global financial markets. We are seeking a highly motivated and experienced Compliance professional to join us and support our critical Futures Commission Merchant (FCM) compliance activities, which will be operated within our Joint Venture with FanDuel. This role is for a self-starter who thrives in a fast-paced environment and is passionate about executing compliance strategies and protecting the firm and its clients. You will serve as a core implementer, translating complex regulatory requirements into clear, actionable measures. What You'll Get A supportive environment fostering, continuous learning, and an inclusive culture. Broad exposure to CME's diverse products, asset classes, and cross-functional teams. A competitive salary and comprehensive benefits package. What You'll Do As a Compliance Analyst, you will be a core implementer and resource for the team, executing key compliance functions. Assist in implementing practical regulatory guidance on issues related to futures and swaps trading, including retail customers, options, and margin requirements. Review transaction monitoring alerts and complete appropriate resolutions. Conduct ongoing monitoring of customer risk ratings and incoming customer complaints. Complete electronic communication reviews. Support the compliance aspects of developing and rolling out new trading products and services across the firm. Coordinate and prepare responses for regulatory inquiries, examinations, and investigations, as well as matters involving client arbitration and litigation. Maintain and update policies and procedures. Monitor new and amended industry rules, assess their immediate impact, and contribute to implementing necessary compliance changes. Participate in internal working groups and governance forums, providing necessary advice and documentary support. What You'll Bring The ideal candidate possesses a strong regulatory background, relevant industry experience, and proven execution skills. #LI-DD1 CME Group is committed to offering a competitive total rewards package for our employees that recognizes their contributions to the business and reflects our long-term investment in their future. The pay range for this role is $73,300-$122,100. Actual salary offered will be dependent on a wide array of factors including but not limited to: relevant experience, skills, education and comparison to internal employees (where relevant). Our compensation program also includes an annual target bonus opportunity for all employees, as well as the opportunity to become an owner in the company through our broad-based equity program. Through our benefits program, we strive to offer flexibility, value and choice. From comprehensive health coverage, to a retirement package that includes both a 401(k) and an active pension plan, to highly competitive education reimbursement provisions, paid time off and a mental health benefit, CME Group offers a holistic benefits package for our team and their dependents. CME Group: Where Futures are Made CME Group is the world’s leading derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career by shaping tomorrow. We invest in your success and you own it – all while working alongside a team of leading experts who inspire you in ways big and small. Problem solvers, difference makers, trailblazers. Those are our people. And we’re looking for more. At CME Group, we embrace our employees' unique experiences and skills to ensure that everyone’s perspectives are acknowledged and valued. As an equal-opportunity employer, we consider all potential employees without regard to any protected characteristic. Important Notice: Recruitment fraud is on the rise, with scammers using misleading promises of job offers and interviews to solicit money and personal information from job seekers. CME Group adheres to established procedures designed to maintain trust, confidence and security throughout our recruitment process. Learn more here. As the world’s leading derivatives marketplace, CME Group is where the world comes to manage risk. We enable clients to trade futures, options, cash and OTC markets, optimize portfolios, and analyze data – empowering market participants worldwide to efficiently manage risk and capture opportunities. CME Group exchanges offer the widest range of global benchmark products across all major asset classes based on interest rates, equity indexes foreign exchange energy agricultural products and metals. We meet uncertainty and volatility with confidence and clarity, across the trading lifecycle and around the world. Hear more about our employee experience Get a look inside CME Group and see what makes us tick A rewarding career is only the beginning Best Place to Work Recruitment fraud is on the rise, with scammers using misleading promises of job offers and interviews to solicit money and personal information from job seekers. CME Group adheres to established procedures designed to maintain trust, confidence and security throughout our recruitment process. Additionally, CME Group does not communicate with job applicants over Telegram. Learn more here. For U.S. employment, CME Group is legally required to validate a new hire’s employment eligibility by having them complete an Employment Eligibility Verification (Form I-9) companied with legally acceptable proof of identity and work authorization (as listed on the Form I-9). CME Group uses E-Verify, which is an online system operated by the U.S. Department of Homeland Security in partnership with the Social Security Administration to verify employment eligibility and validate social security numbers. Through participation in the E-Verify program, information entered on Form I-9 will be provided and compared to information available at both of these agencies. See posters below for more details. E-Verify Notice E-Verify Notice Español U.S. Right to Work Notice U.S. Right to Work Notice Español

Requirements

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certification is a plus.
• 1-3 years of regulatory or compliance experience focused on FCM regulation within a financial services firm, regulatory agency, or self-regulatory organization.
• Strong foundational knowledge of the Commodity Exchange Act, CFTC Regulations, and NFA/exchange rules.
• Developed written and oral communication skills, capable of summarizing complex regulatory issues concisely.
• Effective organizational and time management skills, including the ability to prioritize and work independently to meet deadlines.
• Strong interpersonal skills to foster teamwork and maintain effective relationships with colleagues, clients, and regulators.
• Ability to identify compliance issues and actively assist in the development of remedial enhancements to forms, policies, and control processes.

Responsibilities

• Assist in implementing practical regulatory guidance on issues related to futures and swaps trading, including retail customers, options, and margin requirements.
• Review transaction monitoring alerts and complete appropriate resolutions.
• Conduct ongoing monitoring of customer risk ratings and incoming customer complaints.
• Complete electronic communication reviews.
• Support the compliance aspects of developing and rolling out new trading products and services across the firm.
• Coordinate and prepare responses for regulatory inquiries, examinations, and investigations, as well as matters involving client arbitration and litigation.
• Maintain and update policies and procedures.
• Monitor new and amended industry rules, assess their immediate impact, and contribute to implementing necessary compliance changes.
• Participate in internal working groups and governance forums, providing necessary advice and documentary support.

Benefits

• A supportive environment fostering, continuous learning, and an inclusive culture.
• Broad exposure to CME's diverse products, asset classes, and cross-functional teams.
• A competitive salary and comprehensive benefits package.
• comprehensive health coverage
• a retirement package that includes both a 401(k) and an active pension plan
• highly competitive education reimbursement provisions
• paid time off
• a mental health benefit

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level