Compliance Analyst II

Compliance Analyst II

The Compliance Analyst II supports the firm's employee and Introducing Broker (IB) compliance programs by administering applicable regulatory and internal compliance requirements. This role is responsible for ensuring accurate registration, recordkeeping, oversight, and ongoing monitoring in accordance with rules and requirements issued by regulatory bodies including the CFTC, NFA, and various exchanges, as well as firm policies and procedures. The Compliance Analyst II serves as a key point of contact for employees and Introducing Brokers, provides day-to-day compliance guidance, supports audits and examinations, and assists with investigative, monitoring, and control-enhancement activities to maintain a strong and effective compliance framework.

Responsibilities

Primary duties will include:

• Administer employee and Introducing Broker (IB) compliance programs in accordance with applicable regulatory requirements and internal policies.
• Ensure proper, accurate, and timely registration of employees and Introducing Brokers with the NFA, including ongoing updates, amendments, and renewals.
• Review, document, and manage IB audits, including follow-up on findings and coordination with internal stakeholders to address deficiencies.
• Support the IB onboarding process by tracking new IB account openings, ensuring proper registration and executed agreements, and coordinating information flow across applicable Compliance functions.
• Manage routine compliance training programs by administering module rollouts, tracking completion metrics, maintaining required documentation, and supporting enforcement of training obligations.
• Review, approve, and maintain promotional and marketing materials to ensure compliance with regulatory requirements and firm guidelines.
• Oversee brokers' personal trading accounts by reviewing activity, maintaining required documentation, and ensuring compliance with regulatory rules and firm policies.
• Serve as a primary point of contact for employees and Introducing Brokers.
• Support ongoing monitoring, testing, and enhancement of compliance controls related to employee and IB activities.
• Assist with regulatory examinations, audits, and ad hoc projects assigned.

Qualifications

To land this role you will need:

• Bachelor's Degree required. A major in Finance, Business, Legal Studies, or a related field preferred.
• 3–5 years of experience in a compliance, regulatory, or supervisory role within a financial services environment, preferably involving employee compliance and/or Introducing Broker (IB) oversight.
• Working knowledge of and proven ability to interpret market rules and regulatory requirements issued by the CFTC, NFA, and various exchanges.
• Hands-on experience with NFA registration and promotional material review processes preferred.
• Experience administering or supporting employee compliance programs, including personal trading account monitoring, training requirements, and policy adherence.
• Strong attention to detail with demonstrated ability to maintain accurate records, perform quality checks, and ensure regulatory readiness.
• Experience supporting regulatory examinations, internal audits, and responding to information requests from regulators or internal stakeholders preferred.
• Demonstrated ability to conduct and document ad hoc investigations, identify potential compliance issues, and escalate matters appropriately.
• Strong organizational and time-management skills, with the ability to manage multiple priorities.
• Effective written and verbal communication skills, with the confidence to engage directly with internal and external stakeholders.
• Proficiency with compliance systems, databases, and Microsoft Office applications (Excel, Word, Outlook); experience with compliance or registration platforms preferred.

Working Environment:

• Minimum 4 days/week in the office (or as the Firm dictates)
• Dynamic, time-sensitive environment.
• Demonstrated ability working with people in connection with challenging issues.
• Ability to work independently.
• Must be authorized to work in the US for any employer.

Hiring Salary Range $65,000 - $70,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data. Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.