Compliance Analyst - FCM (Futures Commission Merchant)

CME Group is the world’s leading derivatives marketplace, dedicated to maintaining the integrity and stability of global financial markets. They are seeking a Compliance Analyst to support critical Futures Commission Merchant (FCM) compliance activities, translating complex regulatory requirements into actionable measures.

Responsibilities

• Assist in implementing practical regulatory guidance on issues related to futures and swaps trading, including retail customers, options, and margin requirements
• Review transaction monitoring alerts and complete appropriate resolutions
• Conduct ongoing monitoring of customer risk ratings and incoming customer complaints
• Complete electronic communication reviews
• Support the compliance aspects of developing and rolling out new trading products and services across the firm
• Coordinate and prepare responses for regulatory inquiries, examinations, and investigations, as well as matters involving client arbitration and litigation
• Maintain and update policies and procedures
• Monitor new and amended industry rules, assess their immediate impact, and contribute to implementing necessary compliance changes
• Participate in internal working groups and governance forums, providing necessary advice and documentary support

Skills

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certification is a plus
• 1-3 years of regulatory or compliance experience focused on FCM regulation within a financial services firm, regulatory agency, or self-regulatory organization
• Strong foundational knowledge of the Commodity Exchange Act, CFTC Regulations, and NFA/exchange rules
• Developed written and oral communication skills, capable of summarizing complex regulatory issues concisely
• Effective organizational and time management skills, including the ability to prioritize and work independently to meet deadlines
• Strong interpersonal skills to foster teamwork and maintain effective relationships with colleagues, clients, and regulators
• Ability to identify compliance issues and actively assist in the development of remedial enhancements to forms, policies, and control processes

Benefits

• A competitive salary and comprehensive benefits package
• An annual target bonus opportunity for all employees
• The opportunity to become an owner in the company through our broad-based equity program
• Comprehensive health coverage
• A retirement package that includes both a 401(k) and an active pension plan
• Highly competitive education reimbursement provisions
• Paid time off
• A mental health benefit

Company Overview

Company H1B Sponsorship