Trade Compliance Analyst

Overview

Our client is looking to fill their Senior Compliance Analyst role and they're in need of someone who has a deep knowledge of SEC and FINRA regulations to cover their business.

Location(s) Available: Chicago, IL / Greenwich, CT / Ft Lauderdale, FL

Base pay range: $/yr - $/yr

Salary: $100-$130k base w/ 20% bonus

• Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
• Design periodic and adhoc supervisory reports and complete associated reviews
• Engage with stakeholders across technology and operations teams and support them in an advisory capacity
• Implement internal control enhancements and appropriately solution potential compliance matters
• Assist draft business specifications to create and improve surveillance and compliance tools
• Assist coordinate responses to regulatory inquiries from foreign and US regulators
• Draft and implement firm policies, controls and written supervisory procedures

• 5+ years’ experience with a broker-dealer, investment manager or regulator
• Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
• Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
• Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc.
• High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
• Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

• Mid-Senior level

• Full-time

• Finance