Senior Associate - Compliance

Rothera•Chicago, IL

1d•$100,000 - $130,000•Hybrid

About The Position

The Senior Associate, Compliance is an integral part of Rothera’s compliance function, supporting both the DCM and DCO entities in maintaining a robust, regulator-ready compliance program. The role supports day-to-day compliance functions, including intermediary participant onboarding, sanctions monitoring, system safeguards, and regulatory examination management. The ideal candidate is a proactive self-starter who values accuracy, communicates clearly across teams, and is eager to use data tools to automate manual workflows into scalable compliance processes.

Requirements

Bachelor’s degree in Auditing, Finance, Economics, or a related field.
3–5 years of experience in compliance, legal, or regulatory operations, ideally within an institutional exchange, FCM, proprietary trading firm, or CFTC/SEC-regulated environment.
Strong familiarity with CFTC-regulated entities (DCM, DCO, FCM) is preferred.
Highly organized, with a track record of managing multiple workstreams and competing priorities.

Nice To Haves

Experience using visual business intelligence tools such as Snowflake, Sigma, Tableau, or Power BI, and querying languages such as SQL or Python to build dashboards, track compliance metrics, and identify process efficiencies.
Hands-on experience with project management tools such as Jira or Asana.

Responsibilities

Manage end-to-end compliance onboarding for FCMs and Market Makers by coordinating with applicants, collecting and reviewing verification documents, conducting beneficial ownership checks, and performing sanctions and PEP screening.
Continuously monitor institutional participants, vendors, and beneficial owners for sanctions, adverse media, and politically exposed persons.
Document system safeguards and CFTC system disruption notifications by coordinating with internal engineering teams, logging incident details, and maintaining audit trails for regulatory recordkeeping.
Assist with CFTC examination preparation by tracking information requests, organizing supporting evidence, and coordinating deliverables across internal stakeholders.
Collaborate with Product, Operations, and Business Development by tracking executed market maker agreements and monitoring product quoting coverage across active event contracts.
Identify opportunities to use data analytics and vendor tools to automate manual workflows, track metrics, support the market surveillance team, and scale day-to-day operations.