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 deadlinesDemonstrated 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
#EarlyCareers
CME Group is committed to offering a competitive total rewards package for our employees that recognizes their contributions to the business and reflects our long-term investment in their future. The salary range for this role is $63,200-$105,400. Actual salary offered will be dependent on a wide array of factors including but not limited to: relevant experience, skills, education and comparison to internal employees (where relevant). Our compensation program also includes an annual target bonus opportunity for all employees, as well as the opportunity to become an owner in the company through our broad-based equity program. Through our Benefits program, we strive to offer flexibility, value and choice. From comprehensive health coverage, to a retirement package that includes both a 401(k) and an active Pension Plan, to highly competitive education reimbursement provisions, paid time off and a mental health benefit, CME Group offers a holistic Benefits package for our team and their dependents.
CME Group : Where Futures are Made
CME Group is the world’s leading and most diverse derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career by shaping tomorrow. We invest in your success and you own it – all while working alongside a team of leading experts who inspire you in ways big and small. Problem solvers, difference makers, trailblazers. Those are our people. And we’re looking for more.
