About the roleThe Senior Associate, Compliance is an integral part of Rothera's compliance function, supporting both the DCM and DCO entities in maintaining a robust, regulator-ready compliance program. You'll support various day-to-day compliance functions, including intermediary participant onboarding, sanctions monitoring, system safeguards, and regulatory examination management. The ideal candidate is a proactive self-starter who takes pride in accuracy, communicates clearly across teams, and is eager to utilize data tools to help automate manual workflows into scalable compliance processes.
What you'll do- Primary analyst responsible for the end-to-end compliance onboarding for FCMs and Market Makers by coordinating with applicants, collecting and reviewing verification documents, conducting beneficial ownership checks, and performing sanction/PEP screening.
- Conduct continuous monitoring of institutional participants, vendors, and beneficial owners for sanctions, adverse media, and politically exposed persons.
- Help document system safeguards and CFTC system disruption notifications by coordinating with internal engineering teams, logging incident details, and maintaining audit trails for regulatory recordkeeping.
- Assist in CFTC exam preparation by tracking information requests, organizing supporting evidence, and coordinating deliverables across internal stakeholders.
- Collaborate with Product, Operations, and Business Development by tracking executed market maker agreements and monitoring product quoting coverage across active event contracts.
- Identify opportunities to utilize data analytics and/or vendor tools to automate manual workflows, track metrics, support our market surveillance team, and scale day-to-day operations.
What you'll bring- Bachelor's degree in Auditing, Finance, Economics or related fields.
- 3-5 years of experience in compliance, legal, or regulatory operations, ideally within an institutional exchange, FCM, proprietary trading firm or CFTC/SEC regulated environment.
- Familiarity with CFTC-regulated entities (DCM, DCO, FCM) strongly preferred.
- Highly organized with a track record of managing multiple workstreams and competing priorities.
- Experience utilizing visual business intelligence tools (e.g. Snowflake, Sigma, Tableau or Power BI), querying languages (SQL/Python) to build dashboards, track compliance metrics, and identify process efficiencies is a plus.
- Hands-on experience with project management tools such as Jira or Asana is a plus.
Benefits & CompensationThis position has a base salary of $100,000-$130,000 per year, plus participation in a discretionary annual incentive bonus program.
Rothera is dedicated to advancing the careers and personal wellbeing of our team members. We are continuously exploring ways to support our employees holistically, including a 401(k) plan with employer match, health, vision, and dental insurance for employees and eligible dependents, paid time off, and much more.
This is a full-time, in-person hybrid position. This position is not available for visa sponsorship now or in the future. Applicants must be authorized to work in the U.S. on a permanent, indefinite basis.
