Junior Compliance & Reporting Specialist
- Posted 2 weeks ago · via Ashby
Hiring in some regions only
Full 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 EXPERIENCE WITH - NFA & CFTC Rulebook - Including: - NFA Compliance Rules 2-29 and 2-36 - NFA Compliance Rule 2-10 and CFTC Regulation 1.31 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.
Why This Role?
Peluang untuk belajar langsung tentang landasan peraturan futures dan berkontribusi pada program komplaince yang berkembang
Key Responsibilities
- Memantau ketaatan perusahaan terhadap persyaratan NFA dan CFTC
- Memelihara daftar tanggung jawab pelaporan dan rekaman
- Membantu dalam persiapan pelaporan peraturan dan tanggapan terhadap pertanyaan peraturan
- Membantu dalam program AML: profil risiko pelanggan, pemantauan transaksi, dan persiapan informasi untuk laporan aktivitas mencurigakan
- Meninjau bahan promosi dan pemasaran sesuai dengan Peraturan Komplaince NFA 2-29
- Mendokumentasikan kebijakan dan prosedur serta mempersiapkan bahan pelatihan untuk staf
Requirements
- 1–2 tahun pengalaman dalam komplaince, pelaporan peraturan, atau peran terkait di layanan keuangan
- Gelar dalam keuangan, ekonomi, hukum, atau bidang terkait, atau pengalaman setara
- Kemampuan Excel yang kuat (membangun tracker dan dashboard sederhana)
Required Skills
Indonesia Context
- Working Hours Overlap:
- Flexible — work your own hours
View Original Description from Ashby Job BoardsShow more
Original description from Ashby Job Boards
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 EXPERIENCE WITH - NFA & CFTC Rulebook - Including: - NFA Compliance Rules 2-29 and 2-36 - NFA Compliance Rule 2-10 and CFTC Regulation 1.31 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.
Not quite right? Similar roles hiring now
See all 5 similar →Employer hires only in specific regions — check eligibility first
Explore related
Market data & reports
Salary & skill-demand research built from our own listings data.
- Skills Remote Employers Ask For in the AI EraMost-named skills in active listings by kind, AI-named skills and the fastest risers. Weekly data.
- Indonesia IT Jobs vs Global Remote (2026)Primary analysis of 2,049 listings: methodology, classification rules, downloadable datasets.
- AI-Skill Demand: Indonesia vs Global Remote (2026)10,000+ postings, taxonomy-first classifier, Wilson CIs, pre-registered before analysis.
- Remote ≠ Remote: The Skills That Open Global Work to Indonesians (2026)12,891 remote listings: the highest-paid coding skills are the most geo-locked for Indonesia-based applicants. CC BY 4.0 aggregate dataset.
- The Compliance Layer of the AI Hiring Stack (2026)6,349 remote listings: 77.2% never state who may apply. Methodology and a CC BY 4.0 aggregate dataset.
- AI in Job Ads: Indonesia vs Global (2026)Global engineering ads naming AI rose from 3.4% to 23% after ChatGPT; Indonesian ads went from 2.2% to 2.8%. 2027 scenarios and a CC BY 4.0 dataset.
- Cron vs LLM vs LangGraph vs Agent for Social Posts (2026)A pre-registered test of four ways to turn a blog post into social posts, on two models. Automated checks picked a cron template; the model mattered more than the framework.
- Indonesia Hiring Report: Tech vs Non-TechJob demand by field from aggregate open-job counts — never individual listings.
- Indonesia Salary BenchmarkAggregate salary ranges across roles, with open methodology and dataset.
- Indonesian Remote Work Salary & Demand IndexHow much of the global remote job corpus is open to Indonesia, and what it pays (USD) by role.
- Indonesia Quarterly Labor Market ReportLayoffs, funding, salaries & skills per quarter — open aggregates.
- Remote Market Reports by RoleAuto-generated per role family — skills, seniority, companies, salary.
- Global Remote Salary BenchmarkAnnual salary by role & currency, plus the share of listings open worldwide.
This employer appears to hire only in certain regions.