Junior Compliance & Reporting Specialist

The Role

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.

What You’ll Do

• 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

What You Bring

• 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 have

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

Why Slay Markets

• Learn futures compliance from experienced practitioners at a growing firm
• A clear path to grow into broader compliance responsibility as the firm scales
• Performance bonus
• Medical, dental, vision, and 401(k) with employer match
• Licensing support (including NFA AP registration) and tuition reimbursement

Our Hiring Process

We use AI-assisted tools in recruiting, which may include resume screening, application review, and candidate communication. Final hiring decisions are always made by a person on our team.