Junior Compliance & Reporting Specialist

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.