Compliance Analyst (Hybrid or remote)

About Fanatics Markets 

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). We're building the compliance infrastructure to support a growing customer base and an 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 — translating regulatory requirements into clear, actionable processes — with broad exposure across regulatory monitoring, transaction surveillance, marketing review, and customer onboarding. The ideal candidate has 1-3 years of compliance or regulatory experience in a futures, derivatives, or financial services environment, a working knowledge of CFTC and NFA rules, and the ability to operate independently in a fast-moving, early-stage setting

Responsibilities

• 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

Experience and Skills

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; 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)
• 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

For information about our benefits, please visit https://benefitsatfanatics.com/