SlipstreamJobs tracks this role from the company's public career site. Apply directly on the employer's site.
Salary: USD 70,000 - 85,000 / annual
Fanatics Markets is the Futures Commission Merchant (FCM) subsidiary of Fanatics, operating in the event contracts space with binary and outcome-based products listed on Designated Contract Markets (DCMs) and cleared through Designated Clearing Organizations (DCOs). The company is building compliance infrastructure to support a growing customer base and evolving regulatory landscape.
The Compliance Analyst will support day-to-day compliance operations for Fanatics Markets FCM, reporting to the FCM Chief Compliance Officer (CCO). This is an executional role focused on translating regulatory requirements into clear, actionable processes, with broad exposure across regulatory monitoring, transaction surveillance, marketing review, and customer onboarding.
Key responsibilities include:
• Implementing practical regulatory guidance on event contracts, futures, and swaps trading, including retail customer requirements, options, and margin obligations
• Monitoring new and amended CFTC/NFA rules and DCM/DCO rulebook changes; assessing impact and supporting necessary compliance changes
• Reviewing transaction monitoring alerts and completing resolutions in a timely manner
• Monitoring customer risk ratings and incoming complaints; escalating as appropriate
• Completing electronic communication reviews in accordance with supervisory procedures
• Maintaining and updating compliance policies, procedures, and written supervisory procedures (WSPs)
• Coordinating and preparing responses for regulatory inquiries, examinations, and investigations from the NFA, CFTC, DCMs, and DCOs; maintaining records for exam readiness
• Monitoring DCM/DCO bulletins and rule updates; summarizing and distributing to the compliance team
• Reviewing marketing materials, promotional content, and customer communications for compliance under NFA Rule 2-29 and applicable CFTC standards
• Partnering with marketing and product teams to flag compliance issues early
• Supporting compliance aspects of new product development and rollout
• Assisting with AML/KYC reviews, including onboarding documentation and periodic account reviews
• Identifying compliance issues proactively and contributing to remedial enhancements
• Participating in internal working groups and governance forums
Requirements:
Required: 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; ability to summarize complex regulatory issues clearly and concisely. Effective organizational and time management skills; ability to prioritize independently in a fast-paced environment. Strong interpersonal skills; ability 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). Exposure to event contracts, DCM/DCO relationships, or marketing review under NFA Rule 2-29. Familiarity with transaction monitoring systems and surveillance tools used in futures markets. Bachelor's degree in Finance, Business, Law, or a related field.
