Referso Jobs

Senior Capital Markets Middle Office Specialist – FCM Cash & Collateral

Wells Fargo & Company · Posted Nov 9, 2026

Open

Charlotte, North Carolina, United States
Hybrid
Senior
4+ years

Senior Capital Markets Middle Office Specialist – FCM Cash & Collateral

Wells Fargo & Company · Posted Nov 9, 2026

Open

Charlotte, North Carolina, United States
Hybrid
Senior
4+ years

Compliance Analyst, Trade Reporting

TradeStation · Posted Nov 7, 2026

Open

Remote, United States +11 more
Remote
Full-time · Associate
$78K–$88K per year
3+ years

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The Compliance Analyst supports daily regulatory reporting operations for the broker dealer and the FCM, monitoring reporting activity, repairing errors, and escalating exceptions.

Locations (12)

Florida, United States
Texas, United States
Illinois, United States
New York, United States
New Jersey, United States

Senior Associate - Compliance

Rothera · Posted Nov 6, 2026

Open

Chicago, Illinois, United States
Hybrid
Full-time · Mid
$100K–$130K per year
3–5 years

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Senior Associate in Compliance supporting regulatory programs for Rothera’s trading platform.

Compensation

This position has a base salary of $100,000-$130,000 per year, plus participation in a discretionary annual incentive bonus program.

Responsibilities

Support day-to-day compliance functions including onboarding, sanctions monitoring, system safeguards, and regulatory examination management
Coordinate end-to-end compliance onboarding for FCMs and Market Makers
Conduct continuous monitoring of institutional participants, vendors, and beneficial owners for sanctions, adverse media, and PEPs
Document system safeguards and CFTC notifications
Assist in CFTC exam preparation

Requirements

Bachelor's degree in Auditing, Finance, Economics or related fields
Nice to have: Familiarity with CFTC-regulated entities (DCM, DCO, FCM)

Skills

compliance legal regulatory operations CFTC data analytics

Operations Risk, Associate

Schonfeld · Posted Nov 4, 2026

Open

London, England, United Kingdom
Hybrid
Associate

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Own and manage daily MAS regulatory reporting submissions, oversee operational risk processes, develop Key Risk Indicators across Global Operations.

Responsibilities

Own the preparation and submission of daily MAS trade reports, ensuring accuracy and completeness.
Perform pre-submission data quality checks to identify and address issues before reporting.
Track submissions through regulatory acceptance.
Investigate and resolve reporting breaks and rejections, including quantity breaks, UPI errors, and pairing exceptions.
Remediate rejected submissions and ensure corrected reports are successfully resubmitted.

Requirements

Nice to have: trade reporting platform experience
Nice to have: S&P Global Cappitech
Nice to have: DTCC GTR
Nice to have: Kaizen
Nice to have: Regis-TR

Skills

regulatory trade reporting MAS EMIR ASIC CFTC OTC derivatives

Manager

PwC · Posted Jun 28, 2023

Open

Mumbai, Maharashtra, India +1 more
On-site
Full-time · Manager
₹3M per year
4–8 years

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Business Analyst with Regulatory Reporting knowledge to help business leaders embed a proactive and dynamic risk management capability and mindset into corporate business practices.

Locations (2)

Mumbai, Maharashtra, India
Gurugram, Haryana, India

Compensation

Salary max. upto INR 25 LPA.

Responsibilities

Embed proactive and dynamic risk management capability into corporate business practices
Perform change management, stakeholder management, and business analysis
Draft artefacts such as BRD, FSD, Gantt Chart, RACI, RTM
Work with financial products like Fixed Income, FX, Equities
Understand trade lifecycle, global regulations, and trading/investment banking processes

Requirements

MBA
CA
Nice to have: EU Based experience

Senior Capital Markets Middle Office Specialist – FCM Cash & Collateral

Senior Capital Markets Middle Office Specialist – FCM Cash & Collateral

Responsibilities

Skills

Compliance Analyst, Trade Reporting

Locations (12)

Senior Associate - Compliance

Compensation

Responsibilities

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Operations Risk, Associate

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Manager

Locations (2)

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Compensation

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CFTC jobs

Responsibilities

Skills

Locations (12)

Compensation

Responsibilities

Requirements

Skills

Responsibilities

Requirements

Skills

Locations (2)

Compensation

Responsibilities

Requirements

Skills

Compensation

Responsibilities

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Skills

Benefits

Benefits