Compliance Analyst

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🕒 Setembro 21

🗽 New York – Remoto

🗽 New York – Remote

💵 $70.000 - $85.000 / ano

⏰ Tempo Integral

🟢 Júnior

🚔 Conformidade

🚫👨‍🎓 Sem graduação necessária

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Sky Betting & Gaming

SiteLinkedInTodas as Vagas

1001 - 5000 funcionários

🎲 Jogos de Azar

🎮 Jogos

👥 B2C

Gambling • Gaming • B2C

A Sky Betting & Gaming é uma operadora de apostas e jogos online voltada para o consumidor, com base no Reino Unido. Agora parte do grupo Flutter UK & Ireland e do conglomerado Flutter Entertainment, a marca é apresentada ao lado de Betfair, Paddy Power, PokerStars e tombola como um provedor líder de entretenimento confiável para milhões de clientes. A empresa enfatiza o jogo responsável, a experiência do cliente e utiliza plataformas digitais (web e aplicativos) para fornecer serviços de apostas e jogos, com presença operacional em Leeds e registro sob a Flutter Entertainment plc.

Descrição

• Assist in implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations • Monitor new and amended CFTC/NFA rules and DCM/DCO rulebook changes; assess impact and support necessary compliance changes • Review transaction monitoring alerts and complete resolutions in a timely manner • Monitor customer risk ratings and incoming complaints; escalate as appropriate • Complete electronic communication reviews in accordance with supervisory procedures • Maintain and update compliance policies, procedures, and written supervisory procedures (WSPs) • Coordinate and prepare responses for regulatory inquiries, examinations, and investigations from the NFA, CFTC, DCMs, and DCOs; maintain records for exam readiness and track remediation items • Monitor DCM/DCO bulletins and rule updates; summarize and distribute to the compliance team; support related filings and inquiries • Review marketing materials, promotional content, and customer communications for compliance under NFA Rule 2-29 and applicable CFTC standards; maintain a review log • Partner with marketing and product teams to flag compliance issues early • Support the compliance aspects of new product development and rollout • Assist with AML/KYC reviews, including onboarding documentation and periodic account reviews • Identify compliance issues proactively and contribute to remedial enhancements to forms, policies, and controls • Participate in internal working groups and governance forums

🎯 Requisitos

• 1-3 years of experience in regulatory compliance and/or risk management within a futures, derivatives, or FCM environment, at a financial services firm, regulatory agency, or SRO • Foundational knowledge of the Commodity Exchange Act, CFTC regulations, and NFA/exchange rules • Strong written and verbal communication skills; able to summarize complex regulatory issues clearly and concisely • Effective organizational and time management skills; able to prioritize independently in a fast-paced environment • Strong interpersonal skills; able to work cross-functionally with colleagues and external counterparties • Willingness to obtain Series 3 and/or the NFA Swaps Proficiency Exam as applicable • Preferred: Experience at a registered FCM, NFA member firm, or regulatory agency (CFTC, NFA, or exchange) • Preferred: Exposure to event contracts, DCM/DCO relationships, or marketing review under NFA Rule 2-29 • Preferred: Familiarity with transaction monitoring systems and surveillance tools used in futures markets • Preferred: Bachelor's degree in Finance, Business, Law, or a related field

🏖️ Benefícios

• Base and bonus compensation • Benefits information provided at https://benefitsatfanatics.com/