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
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.
1-2 years compliance or regulatory reporting experience in financial services; degree in finance, economics, law or related field or equivalent; strong Excel skills; clear written communication; attention to detail.
Key Responsibilities
- monitoring regulatory compliance
- maintaining reporting registers
- preparing regulatory filings
Skills & Tools
Microsoft Excel
Job Details
- Category: Legal and Compliance
- Seniority: Entry Level
- Commitment: Full Time
- Workplace: Remote — United States
- Salary: USD 70,000 – 80,000 / year
- Languages: English
Benefits
- 401k matching
- Tuition reimbursement
- Retirement plan
About Slay Markets
A modern brokerage built to make trading accessible to everyone, operating as a Guaranteed Introducing Broker under CFTC and NFA oversight. — Industry: Finance