Compliance Analyst

CME Group
New York, USA
Mar 22, 2023
Apr 02, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The Compliance Analyst will support CME Group's Governance, Risk and Compliance (GRC) department, specifically Cash Markets Regulatory Compliance for the Broker Dealer, Information Governance (IG) e-communications platforms, and Enterprise Risk Management (ERM) Programs.

Primary responsibilities include:
  • Support Cash Markets Regulatory Compliance team with the following:
    • Support the Cash Markets entities, mainly its U.S. Securities Broker Dealer and Swap Execution Facility.
    • Draft, amend, file, and maintain documentation, including manuals, presentations, notes, and spreadsheets.
    • Maintain a regulatory tracker of relevant regulations with mappings to the regulatory policies and procedures for the Cash Markets entities.
    • Assist with scheduling and tracking periodic policy, procedure, and control reviews and Compliance training issued by GRC.
    • 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 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.

  • Support Information Governance (IG) team with the following:
    • Maintain the governance and documented procedures for the management of the e-communications program.
    • Work with technology and Information Governance to integrate new e-communication platforms into the approved platforms and incorporating the surveillance accordingly.
    • Conduct reviews of e-communication applications to the firms polices, applicable rules, and regulations, escalating reviews to the appropriate compliance officers or management team(s) when necessary.

  • Support Enterprise Risk Management (ERM) team with the following:
    • Facilitate the execution of ERM activities, including risk identification and assessments, policy and committee governance, and operational risk oversight for ERM activities.
    • Assist in preparation of ERM materials and the Enterprise Risk Profile Report (ERPR) for the monthly Risk Management Team (RMT) and Risk Committee meetings.
    • Assist in administration of ERM risk assessments and quarterly reporting through Archer GRC platform
    • Manage access, sharing rights and other administrative and compliance tasks within the Archer GRC Platform and facilitate the onboarding of new internal users to Archer GRC Platform for ERM processes.
    • Assist with regulatory, internal, or other third-party audit/informational requests.

  • Support GRC department with the following, as requested:
    • Assist with scheduling and tracking periodic policy, procedure, and control reviews and Compliance training issued by GRC.
    • Manage onboarding and offboarding processes for GRC team members, including creation and management of department procedure manual, department system access, and organizational charts.

Experience/Qualifications: The ideal candidate will have a well-rounded risk and technical background. The candidate additionally will have or exhibit:

Minimum Qualifications:
  • Minimum of two years' experience within financial services
  • 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
  • Strong business acumen and process-oriented thinking
  • Experience coordinating work across multiple teams and stakeholders
  • Excellent oral and written communication skills
  • Strong investigative and analytical 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 Outlook/Gmail

Preferred Skills:
  • Securities Industry Essentials Exam ("SIE") or Series 7 license
  • Prior experience in Regulatory Compliance, and/or Information Governance
  • Knowledge of Compliance practices; demonstrated experience in developing and implementing aspects of Regulatory Compliance programs
  • Knowledge of project management practices
  • Proficiency in Tableau, RSA Archer, R, Python, and Visio


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 $67,400-$112,400. 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 derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career 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.

The Candidate Privacy Policy can be found here.
  • You need to sign in to save