Compliance Analyst (Hybrid or remote)
About The Position
Fanatics Markets is building the compliance infrastructure to support a growing customer base and an evolving regulatory landscape. The Compliance Analyst will support day-to-day compliance operations for Fanatics Markets FCM, reporting to the FCM Chief Compliance Officer (CCO). This is an executional role — translating regulatory requirements into clear, actionable processes — with broad exposure across regulatory monitoring, transaction surveillance, marketing review, and customer onboarding. The ideal candidate has 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
Entry Level
