Compliance Analyst - FCM (Futures Commission Merchant)

About the role

This role focuses on maintaining regulatory compliance within Crypto.com's Futures Commission Merchant (FCM) division. The Compliance Analyst will work closely with the Chief Compliance Officer to manage and implement compliance policies and procedures, including written supervisory procedures. A key aspect of the work involves preparing for and responding to examinations, audits, and regulatory requests from bodies like the NFA and CFTC.

The position involves actively monitoring trading activity to identify and investigate potential violations of Exchange rules and CFTC prohibited practices. This includes assessing alerts from surveillance systems and assisting in the development and refinement of these system rules. The analyst will also investigate regulatory issues stemming from FCM customer activities and support the implementation of AML/KYC processes.

Success in this role means effectively supporting the compliance framework for new product and business plan implementations, including providing compliance training. The analyst will be responsible for developing and implementing compliance solutions and evaluating their effectiveness. This requires a proactive approach to identifying and addressing regulatory challenges in a dynamic environment.

The compensation for this role ranges from $70,000 to $100,000 annually.

Skills that matter here

• Compliance in financial services: This role requires at least three years of experience in financial services compliance to manage regulatory adherence effectively.
• Knowledge of trade surveillance systems: Familiarity with trade surveillance systems is beneficial for monitoring trading activity and assessing alerts for potential violations.
• Excellent written and oral communication skills: Strong communication is essential for responding to regulatory bodies and articulating compliance policies and findings.
• Proven ability to manage projects and work independently: The analyst must be capable of leading projects to completion in a fast-paced environment without constant oversight.
• Demonstrated ability to successfully multitask and prioritize job responsibilities: This role demands managing multiple compliance tasks and investigations simultaneously while prioritizing effectively.

Who this role suits

• A person with a background in finance, economics, or business, or equivalent professional experience.
• Someone who thrives in a fast-paced environment and can manage projects autonomously.
• An individual with strong analytical skills capable of identifying and investigating regulatory issues.
• A professional who can effectively communicate complex compliance information both verbally and in writing.

From the employer

• Support the Chief Compliance Officer in overseeing governance and implementation of FCM's policies and procedures, written supervisory procedures, and related documentation.
• Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
• Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
• Assist Operations in the implementation and monitoring of surveillance systems alert rules.
• Assist with the creation, development, and review of surveillance rules, alerts and procedures.
• Identify and investigate regulatory issues that arise from FCM customer activity.
• Support the implementation of AML/KYC, sales solicitations, and marketing material reviews.
• Support Compliance in new product and business plan implementations, including compliance training.
• Formulate and implement compliance solutions as well as assess their effectiveness.

• Bachelor’s degree in Finance, Economics, or Business, or equivalent work experience.
• 3+ years in Compliance in financial services, or equivalent experience.
• Knowledge of trade surveillance systems is a plus.
• Excellent written and oral communication skills.
• Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
• Demonstrated ability to successfully multitask and prioritize job responsibilities.

• Competitive salary.
• Attractive annual leave entitlement including: birthday, work anniversary.
• 401(k) plan with employer match.
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance.
• Flexi-work hour and hybrid or remote set-up.
• Aspire career alternatives through us - our internal mobility program offers employees a new scope.