Junior Compliance & Reporting Specialist

JUNIOR COMPLIANCE & REPORTING SPECIALIST ABOUT SLAY MARKETS Slay Markets is a modern brokerage built to make trading accessible to everyone. Our clients get research tools, real-time data, and an experience that works the way it should. We’re a growing team of people who care about getting things right, and we hold ourselves to a high standard of integrity. 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.