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, including preparing routine 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 of staff and senior leadership as required. Prior experience is ideal
Experience working at or with financial regulator(s) (i.e FINRA, SEC, etc) and/or as a consultant is preferred
Willingness to establish collaborative relationships and cross train in all areas of compliance
1-3 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!