The Compliance Analyst will support the Cash Markets Compliance Officers, performing many of the day-to-day operational and tactical functions.
Primary responsibilities include:
- Support all of the Cash Markets entities globally.
- Draft, amend, file, and maintain documentation, including manuals, procedures, presentations, notes, and spreadsheets.
- Primary ownership of electronic communication monitoring program, including daily reviews, updates to procedures, lexicons, and reconciliation of required population.
- Assist with regulatory, internal, or other third-party audit/informational requests.
- Assist with daily onboarding and offboarding tasks for registered persons, such as tracking system access, required training, personal account statements, etc.
- Assist with compiling routine regulatory filings.
- Perform trade reporting reviews as necessary.
- Assist with scheduling and tracking periodic policy, procedure, control reviews and Compliance training.
- Prepare and distribute materials for Department, Committee, and Board meetings, as requested.
- Organize and compile information for GRC Leadership and their teams, as requested.
- Conduct compliance and risk assessment activities, including targeted regulatory reviews such as Desk Examinations, and testing effectiveness of compliance controls, for the Cash Markets regulated entities.
- Assist with US AML requirements and reviews.
Experience / Qualifications:
- Bachelor’s Degree required
- Ability to work independently, accurately and to meet deadlines
- Demonstrated ability to work effectively with a team and ability to foster working relationships
- Process-oriented thinking
- Experience coordinating work across multiple teams and stakeholders
- Excellent oral and written communication skills
- Strong investigative and analysis skills with the ability to handle confidential information
- Proficiency in Microsoft Professional Office and/or Google Workspace including PowerPoint/Slides, Excel/Sheets, Word/Docs, and Email
Preferred Skills:
- Securities Industry Essentials Exam (“SIE”) or Series 7 license
- Prior experience or education in Regulatory Compliance
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