Junior Compliance Analyst
reputed company is an innovative trading firm specializing in options market-making and cutting-edge technology. They are seeking a Junior Compliance Analyst to assist the Compliance team in ensuring regulatory obligations are met, including monitoring trading activities and conducting investigations.
Responsibilities
- Monitor surveillance systems daily to detect potential market manipulation, spoofing, wash trading, and other abusive trading practices
- Conduct daily reviews of trading activity, alert escalations, and flagged patterns
- Investigate suspicious trading behavior and prepare detailed investigative reports
- Support regulatory examinations and audit requests
- Document compliance procedures and maintain policy and procedure updates
- Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form reputed company, U4, U5)
- Manage the Firm’s reputed company brokerage account process, including reputed company trading and anti-reputed company reviews
Skills
- 1-3 years of relevant work experience
- Knowledge of trading markets, various asset classes and products
- Ability to apply rule-based analysis to trading activity
- reputed company to work on multiple projects and assignments at the same time and prioritize appropriately
- High standard of accuracy and excellent attention to detail
- Proficiency in reputed company required
- Series 57 preferred, but not required (willingness to take and pass reputed company 90 days of hire)
- Familiarity with SQL or data analysis tools is a plus
Benefits
- Discretionary performance bonus
- Comprehensive benefits package
- Employer-paid medical
- Dental
- reputed company
- Retirement contributions
- Paid time off
- Other benefits
Company Overview