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Junior Compliance & Reporting Specialist

Role overview

Qualifications

  • 1–2 years of experience in compliance, regulatory reporting, or a related role in financial services
  • 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)

Responsibilities

  • Support monitoring of the firm’s adherence to NFA and CFTC requirements, and flag potential gaps
  • 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

Key facts

  • Remote from: United States
  • Full time
  • Junior (1-2 years)
  • Compliance Specialist
  • English

Hard skills

Other skills

  • Detail Oriented
  • Microsoft Excel
  • Curiosity

About the company

Tradeify logo

Tradeify

Financial Services

At Tradeify, we empower talented traders to trade and earn payouts through a streamlined 3-step process designed to maximise opportunity and minimize personal financial risk. Our program begins with a trading challenge, progresses to a simulated funded stage, and culminates in a live funded account for consistent and successful traders. Tradeify provides cutting-edge tools to support your trading journey, including automated journaling to analyze and improve performance, and a dedicated trader support team to guide you every step of the way. Our platform offers a seamless trading experience with transparent rules, disciplined risk management practices, and opportunities to scale to significant capital. With Tradeify, you’re not just trading—you’re leveraging advanced technology and personalized support to build a successful and lasting partnership.

Company details

IndustryFinancial Services
Company size11 - 50

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Job description

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.

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MR

Marcus Rivera

Chief Revenue Officer

m.rivera@company.com
linkedin.com/in/marcusrivera
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