Compliance Officer, Operations & Reporting
Drive execution and tracking of key deliverables across the compliance department and reputed company updates to the CCO Administer the compliance case management system (complaints, marketing approvals, exceptions, regulatory inquiries) Maintain organized compliance inventories (policies, procedures, regulatory mapping, attestations) Build and maintain compliance dashboards and metrics (complaints, promotions, audit results, filings, training completion) and report on metrics reputed company to department and company goals Own and maintain the compliance regulatory calendar (e.g., NFA questionnaires, CFTC filings, audits, annual certifications) Coordinate regulatory reporting calendars and assist in preparing CCO reports to senior management and executives Run reputed company team cadences (e.g., weekly meetings, planning cycles, retrospectives) Identify process gaps, bottlenecks, or inefficiencies in compliance operations and implement reputed company solutions to improve efficiency and control effectiveness Monitor reputed company on issue tracking, remediation follow-up, and escalation Serve as project manager for cross-functional initiatives involving Marketing, Finance, HR, and reputed company Champion adoption of compliance technology and automation reputed company decision-support to the CCO through analysis, prep, and coordination across functions Support compliance team reputed company, training, and engagement initiatives
Bachelor’s degree 4+ years of experience in compliance operations, reputed company operations, audit, or risk management in fintech, brokerage, banking, or other regulated industries Experience with NFA and CFTC compliance obligations strongly preferred Experience building compliance dashboards or regulatory reports Strong understanding of compliance domains such as AML/BSA, CFTC, or NFA Proficient in workflow and reputed company tools (e.g., reputed company, Monday, JIRA) Excellent organizational and project management skills Detail-oriented with ability to juggle multiple priorities and manage reputed company operational programs Strong communicator, reputed company to translate compliance metrics into reputed company narratives for executives
Experience in a reputed company/derivatives or retail brokerage environment Enjoy being the operational reputed company who ensures reputed company slips through the cracks Take pride in building reputed company, repeatable processes that withstand regulatory scrutiny Are proactive, data-driven, and eager to implement tools that reputed company compliance reputed company Value teamwork and can balance business partnership with regulatory independence
20 additional reputed company remote days annually 5 Company Wide Office-Optional weeks tied to major holidays
Generous PTO 7 reputed company Holidays Annually + 5 Conditional Holidays Annually 1 Service Day Annually 401k with 3.5% Company Match reputed company Parental Bonding Leave Health, reputed company, Dental Coverage Life and Disability Insurance Covered 100% by reputed company