Bullish
Compliance Analyst
NEWš° USD 120,000 - 150,000/yr
Job Description
[AI-summarized by JobStash]
You will implement regulatory guidance for futures, trading, options, and margin issues including considerations for digital assets. You will review and investigate alerts for market abuse, AML and KYC issues, and complete accurate resolution documentation. You will monitor customer risk ratings, PEP and sanctions screening results, and address incoming complaints. You will conduct electronic communication reviews and ensure record-keeping compliance. You will coordinate responses to regulatory inquiries, examinations and investigations and prepare required filings. You will maintain and update compliance policies and procedures and monitor new or amended industry rules to assess impact and implement changes. You will support state-by-state licensing filings via NMLS and assist with ongoing compliance filings and reports. You will participate in governance forums and help develop and deliver compliance training for staff.
Requirements
- āBachelor's degree in Finance Economics Business or equivalent practical experience
- ā3+ years of experience in compliance regulatory or risk management at a financial institution
- āExperience at an FCM preferred
- āSolid understanding of the regulatory framework governing U.S. futures markets including CFTC regulations and NFA rules
- āStrong analytical skills and attention to detail
- āExcellent written and verbal communication skills
- āExperience with digital assets or blockchain technology is a plus
- āExperience with compliance monitoring systems such as transaction monitoring and e-comm surveillance is a plus
- āKnowledge of relevant laws and regulatory standards including NY CRR Part 200 BSA AML USA PATRIOT Act OFAC and applicable federal regulations (e.g., FINRA SEC) is a plus
Responsibilities
- āImplement regulatory guidance for futures trading options and margin that incorporate digital asset considerations
- āReview and investigate alerts related to market abuse AML and KYC and document resolutions
- āMonitor customer risk ratings including PEP and sanctions screening and address complaints
- āConduct electronic communications reviews ensuring record keeping compliance
- āCoordinate and prepare responses for regulatory inquiries examinations and investigations
- āMaintain and update compliance policies and procedures
- āMonitor new and amended industry rules and assess impact on business operations
- āEnsure ongoing compliance filings notifications and reportings are completed
- āSupport state MTL and virtual currency licensing filings via NMLS
- āParticipate in internal working groups and governance forums providing compliance advice
- āDevelop and deliver compliance training programs for staff