Junior Compliance & Reporting Specialist
Key Skills for This Role
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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.
Qualifications
- 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
- Good judgment about when to ask for help or escalate
Preferred Qualifications
- Curiosity and willingness to learn the CFTC/NFA rulebook, with exposure to NFA rules, CFTC recordkeeping, or BSA/AML a plus
- 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.
Responsibilities
- 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
About Tradeify
Tradeify is a private proprietary trading firm providing simulated evaluations, funded accounts, and performance-based rewards to retail futures traders.
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