One of the top leading tech-driven international proprietary trading firms is seeking a Compliance Analyst who is willing and able to train others. Your role will serve as a critical member of the organization, supporting its larger objectives such as assisting with regulatory filings, working with regulators, and being an expert in your field.
The Compliance Analyst will be responsible for:
- Delivering initial and ongoing compliance training to colleagues and management, inclusing preparing routn educational presentations
- Managing securities licensing/registration, form filings, and SRO Exchange registration
- Following up on and appropriately responding to regulatory inquiries
- Conducting employee reviews of private securities transactions, outside brokerage accounts and business activities
The Compliance Analyst should have the following qualifications: ​
- Bachelor's degree is required
- Comfortable making high impact presentations in front off staff as required
- Experience working at or with financial regulator(s) (i.e FINRA, SEC, etc) and/or broker-dealers is a bonus
- Willingness to establish collaborative relationships and cross train in all areas of compliance
- A minimum of at least 3+ years compliance experience
- Excellent public and written communication skills
Benefits/Perks:
This firm offers the following competitive benefits which allows for a healthy work life balance such as:
- Competitive pay and bonus
- Hybrid work model
- Generous PTO and paid holidays
- Paid commuter expenses
- 401(k) match
​If you are interested in the Compliance Analyst role, then please apply!