What are the responsibilities and job description for the Compliance Examiner position at Aristotle?
Aristotle Exchange (AIEX) offers an exciting career opportunity that mixes politics, events, business, finance, and technology. We aim to be the world's largest political event exchange managing billions of trades in event contracts.
Everyone at Aristotle Exchange is focused on our vision to transform how individuals can predict event outcomes and make money at the same time through head over heart investing in outcomes of mainly political events. Aristotle Exchange expects to become the largest event market in the world. AIEX is registering with the US Commodity Futures Trading Commission (CFTC).
Aristotle International is a 40-year-old company with a distinguished history in politics, software and data science. Aristotle provides software and market services to PredictIt which set the standard for political event trading on a legal market for US traders. Now with 8 years of success behind it, Aristotle Exchange is coming to life as a CFTC registered designated contract market. Aristotle Exchange has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 130 employees across the country with team members in the EU, Canada, and South America.
This role is DC-based but allows for a hybrid or fully remote schedule.
The Compliance Examiner supports the Aristotle Exchange mission in safeguarding the integrity of the exchange’s markets, protecting investors and ensuring members meet their regulatory responsibilities by performing extensive examinations, monitoring, and/or investigations to ensure compliance with the exchange rules and CFTC regulations.
- Review, analyze, and follow-up on trade alerts as part of AIEX’s trade practice surveillance program.
- Review new trader applications to ensure compliance with KYC and AML requirements.
- Identify and address key issues and collect all necessary evidence for possible disciplinary cases.
- Communicate with exchange members regarding possible compliance deficiencies or violations and discuss corrective action.
- Engage in day-to-day communications with Members and other industry professionals to assist Members in complying with the rules and regulations.
- Bachelor's degree in business oriented major.
- Prior experience in financial services industry a plus.
- Experience with trade surveillance software such as Eventus preferred.
- Ability to apply the appropriate level of professional skepticism to assignments.
- Ability to work effectively in a team environment.
All positions are Full-Time, with competitive compensation, medical benefits, paid vacation, 401k plan and stock options. Casual dress code and a non-corporate atmosphere make this a fun place to work and learn in a team environment. Please visit our website at www.aristotle.com.
