FCM Compliance Associate

The FCM Compliance Associate supports Nanhua USA LLC’s compliance function across a range of regulatory and operational areas. This role works directly with the Chief Compliance Officer and assists with day-to-day compliance activities, including AML monitoring, customer onboarding and due diligence, transaction reviews, recordkeeping, regulatory documentation, and general compliance administration.

This position provides early-career exposure to multiple aspects of compliance within a registered Futures Commission Merchant environment.

Key Responsibilities

AML , KYC & Customer Due Diligence

• Support customer onboarding by collecting and reviewing KYC/CIP materials and maintaining complete and accurate customer files.
• Conduct sanctions, PEP, and adverse media screenings as part of customer due diligence processes.
• Review customer funding activity and escalate unusual activity for further review.
• Assist with researching and documenting items that may require further AML investigation.
• Organize and maintain compliance, AML, and customer records in accordance with internal retention procedures.
• Assist with annual AML audit/review.

FCM Compliance Support

• Assist with organizing documentation for regulatory exams, internal reviews, and ongoing compliance monitoring.
• Help maintain compliance trackers, logs, and supporting records.
• Support responses to regulatory or exchange information requests.
• Assist in compliance matters related to exchange inquiries, customer account activity, and internal reviews.
• Work with Operations, Risk, Finance, and affiliate teams to gather documentation and support compliance requests.
• Assist with Third-Party Service Provider (TPSP) oversight activities, including gathering due diligence materials, maintaining TPSP files, and helping track ongoing review requirements.
• Assist in updating and maintaining internal compliance policies, procedures, and documentation.
• Coordinate and track employee compliance training.
• Support internal compliance certifications and annual compliance activities.
• Provide general support on compliance-related projects and tasks as assigned by the Chief Compliance Officer.

Qualifications

• 0–2 years of experience in compliance, AML, KYC, operations, or financial services.
• Bachelor’s degree in a related field (e.g., Finance, Economics, Business Administration, or Risk Management) with some exposure to futures, options, or derivatives markets.
• Familiarity with basic AML and customer due diligence concepts.
• Strong attention to detail and solid organizational skills.
• Ability to work within defined procedures and manage recurring workflows.
• Interest in developing knowledge of the futures industry and FCM regulatory environment.

Preferred (Not Required)

• Experience in an FCM or similar financial institution.
• Exposure to futures or derivatives markets.
• Series 3 or interest in obtaining it over time.