Senior Associate - Compliance
Confirmed on the employer's own hiring board on Nov 9, 2026. First seen by Alion on Nov 6, 2026.
Building markets for the new trading frontier.
Bringing the future into focus.
Rothera is building the premier prediction market in partnership with Robinhood and Susquehanna International Group.
By empowering traders to take positions on the events that shape our world Rothera’s platform harnesses the scale and power of financial markets to produce timely, unique, and effective information discovery for leaders and decision makers to ask and answer their most important questions.
Rothera operates at the frontier, generating market-driven forecasts that turn intuition into insight.
About the role
The 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 & Compensation
This 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.
Why you should join the mission
If you want a critical role in a path-breaking company, you belong here.
Rothera values initiative from individuals of all backgrounds. We are proud to be an inclusive workplace and do not discriminate on the basis of race, religion, national origin, age, disability or handicap, sex, marital status, veteran status, sexual orientation, or any other characteristic protected by applicable federal, state or local laws.
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.