70K–80K USD / year
Junior Compliance & Reporting Specialist
OtherRemote — USA
Published on 2026-10-13
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About this role
Support day-to-day compliance and regulatory reporting for a futures brokerage operating under CFTC and NFA oversight. Maintain registers, assist with filings and AML work, review marketing materials, and help strengthen recordkeeping and exam readiness.
About the company
Tradeify is a proprietary trading firm that funds traders with simulated capital and payouts across futures and crypto markets.
The team
Compliance
What you'll do
- Monitor adherence to NFA and CFTC requirements and flag potential gaps
- Maintain reporting-obligation and recordkeeping registers
- Prepare regulatory filings and support responses to regulatory inquiries
- Assist with customer risk profiling, transaction monitoring, and suspicious-activity reporting preparation
- Review marketing materials against NFA Compliance Rule 2-29
- Document policies and procedures and prepare staff-training materials
- Support recordkeeping and NFA exam readiness
- Coordinate compliance processes with operations, technology, and customer support
What we're looking for
- 1–2 years of experience in compliance, regulatory reporting, or a related financial-services role
- Degree in finance, economics, law, or a related field, or equivalent experience
- Strong attention to detail and solid Excel skills
- Clear written communication and sound judgment about when to escalate
- Curiosity and willingness to learn CFTC and NFA rules
Nice to have
- Futures, brokerage, or fintech experience
- Exposure to NFA rules, CFTC recordkeeping, or BSA/AML
- CAMS certification or interest in pursuing it
- Series 3 license or willingness to obtain it
- Experience with KYC/AML processes, compliance software, or brokerage platforms
Benefits
- Performance bonus
- Medical, dental, and vision coverage
- 401(k) with employer match
- Licensing support, including NFA AP registration
- Tuition reimbursement
Hiring process
- AI-assisted recruiting tools may be used for resume screening, application review, and candidate communication
- Final hiring decisions are made by a person