Junior Compliance & Reporting Specialist

Tradeify

1d • $70,000 - $80,000

About The Position

You’ll join our compliance team supporting day-to-day compliance and regulatory reporting for our futures brokerage, which operates as a Guaranteed Introducing Broker (GIB) under CFTC and NFA oversight. You’ll work closely with senior compliance team members and learn the futures regulatory landscape hands-on, while taking on real responsibility for registers, filings, and reviews.

Requirements

• 1–2 years of experience in compliance, regulatory reporting, or a related role in financial services (futures, brokerage, or fintech experience is a strong plus)
• Degree in finance, economics, law, or a related field, or equivalent experience
• Strong attention to detail and a habit of double-checking your work
• Solid Excel skills (building trackers and simple dashboards)
• Clear written communication
• Curiosity and willingness to learn the CFTC/NFA rulebook, with exposure to NFA rules, CFTC recordkeeping, or BSA/AML a plus
• Good judgment about when to ask for help or escalate

Nice To Haves

• CAMS (or interest in pursuing it)
• Series 3 (or willingness to obtain it; we’ll support registration)
• experience with KYC/AML processes, compliance software, or brokerage platforms

Responsibilities

• Support monitoring of the firm’s adherence to NFA and CFTC requirements, and flag potential gaps to senior team members
• Maintain the reporting obligations register and recordkeeping registers
• Help prepare regulatory filings and support responses to regulatory inquiries
• Assist with the AML program: customer risk profiling, transaction monitoring, and preparing information for suspicious activity reporting
• Review marketing and promotional materials against NFA Compliance Rule 2-29, escalating questions as needed
• Help document policies and procedures and prepare materials for staff training
• Contribute to our recordkeeping and NFA exam-readiness work as the program develops
• Work with operations, technology, and customer support teams to keep compliance processes running smoothly

Benefits

• Performance bonus
• Medical, dental, vision
• 401(k) with employer match
• Licensing support (including NFA AP registration)
• tuition reimbursement

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree