Compliance Analyst (Hybrid or remote)
About The Position
Fanatics Markets is seeking a Compliance Analyst to support day-to-day compliance operations for its Futures Commission Merchant (FCM) subsidiary. This role reports to the FCM Chief Compliance Officer (CCO) and involves translating regulatory requirements into actionable processes. The analyst will gain broad exposure to regulatory monitoring, transaction surveillance, marketing review, and customer onboarding. The ideal candidate will have 1-3 years of compliance or regulatory experience in a futures, derivatives, or financial services environment, a working knowledge of CFTC and NFA rules, and the ability to operate independently in a fast-moving, early-stage setting.
Requirements
- 1-3 years of experience in regulatory compliance and/or risk management within a futures, derivatives, or FCM environment, at a financial services firm, regulatory agency, or SRO
- Foundational knowledge of the Commodity Exchange Act, CFTC regulations, and NFA/exchange rules
- Strong written and verbal communication skills; able to summarize complex regulatory issues clearly and concisely
- Effective organizational and time management skills; able to prioritize independently in a fast-paced environment
- Strong interpersonal skills; able to work cross-functionally with colleagues and external counterparties
- Willingness to obtain Series 3 and/or the NFA Swaps Proficiency Exam as applicable
Nice To Haves
- Experience at a registered FCM, NFA member firm, or regulatory agency (CFTC, NFA, or exchange)
- Exposure to event contracts, DCM/DCO relationships, or marketing review under NFA Rule 2-29
- Familiarity with transaction monitoring systems and surveillance tools used in futures markets
- Bachelor's degree in Finance, Business, Law, or a related field
Responsibilities
- Assist in implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations
- Monitor new and amended CFTC/NFA rules and DCM/DCO rulebook changes; assess impact and support necessary compliance changes
- Review transaction monitoring alerts and complete resolutions in a timely manner
- Monitor customer risk ratings and incoming complaints; escalate as appropriate
- Complete electronic communication reviews in accordance with supervisory procedures
- Maintain and update compliance policies, procedures, and written supervisory procedures (WSPs)
- Coordinate and prepare responses for regulatory inquiries, examinations, and investigations from the NFA, CFTC, DCMs, and DCOs; maintain records for exam readiness and track remediation items
- Monitor DCM/DCO bulletins and rule updates; summarize and distribute to the compliance team; support related filings and inquiries
- Review marketing materials, promotional content, and customer communications for compliance under NFA Rule 2-29 and applicable CFTC standards; maintain a review log
- Partner with marketing and product teams to flag compliance issues early
- Support the compliance aspects of new product development and rollout
- Assist with AML/KYC reviews, including onboarding documentation and periodic account reviews
- Identify compliance issues proactively and contribute to remedial enhancements to forms, policies, and controls
- Participate in internal working groups and governance forums
Benefits
- Full-time employment
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
