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Junior Compliance & Reporting Specialist

tradeifyDenver, CO

today

Occupations

Compliance OfficersCompliance ManagersSecurities, Commodities, and Financial Services Sales Agents

Industries

Commodity Contracts IntermediationMiscellaneous IntermediationInvestment Banking and Securities Intermediation
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About the role

Slay Markets Compliance RoleSlay 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 Bring1–2 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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JOB OVERVIEW

Experience level

Junior

Location

Denver, CO

Occupation

Compliance Officers

Industry

Commodity Contracts Intermediation

Posted

today

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