Compliance Analyst - FCM (Futures Commission Merchant)

CME Group • New York, NY

6d

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.

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.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees