We are currently seeking a Compliance Analyst to join our team. This is an exceptional opportunity to join a highly successful firm in a role that will provide the opportunity to learn and showcase your skillset. The ideal candidate will have a strong interest in compliance functionalities and have a deep understanding of the trading business. As a Compliance Analyst you will…
- Work directly with the Compliance Manager, focusing on a small subset of tasks; later growing into a complete array of compliance responsibilities
- Administer to all Reg SHO Fail to Deliver positions, Buy-Ins, Threshold Security List activity
- Administer to both Exchange issued and Proprietary Market Maker / Trading Exception Reportsi.e. Market Maker Quoting Exceptions, Security Locate Requirements, Position Limits, Hedge Reports, Spoofing & Layering, Capping & Pegging, etc.
- Complete compliance reviews of employee communications and personal brokerage statements
Requirements
- Bachelor’s Degree or higher
- Minimum of 1-5 years industry experience: trading or regulatory
- Ability to prioritize in a fast moving, high pressure constantly changing environment, high sense of urgency
- Knowledge of the Equity, Equity Options and Futures trading spaces
- Advanced proficiency of Microsoft Office Applications
- Strong communication & organizational Skills
Additional skills/experience that will reflect favorably
- Experience working within a trading firm
- Series 7 and Series 57 Certifications are a plus
- Advanced Microsoft Excel experience, i.e. VBA and Macros
