Summary: Leading and firmly established global proprietary trading firm, seeking a collaborative and organized Compliance Analyst who is willing and able to train others. You'll serve as a critical member of the organization, supporting its larger objectives through your direct contributions by: increasing transparency, assisting with regulatory filings, working with regulators, being an expert in your field, and coaching others.
- Work with the Compliance Manager on all team initiatives;
- Collaborate closely with regulators (may include SEC, FINRA, CME, CFTC, and Self-Regulatory orgs.);
- Manage form filings, securities registration/licensing, and SRO Exchange registration;
- Deliver trainings to management and staff;
- Craft and maintain compliance written supervisory procedures;
- Review and clarify proposed industry rules.
- Bachelor's Degree in a related field;
- 2+ years experience in compliance;
- Able to manage multiple priorities simultaneously;
- Excellent communication skills (written and verbal);
- Experience with Schwab Compliance Technologies, Global Relay, and FINRA Web CRD;
- Willingness to cross train in all areas of compliance, and establish strong, collaborative working relationships.
- Amazing benefits, including generous 401K matching, performance bonuses, tuition reimbursement, parental and family medical leave;
- Flexibility to work from home part of the week, and generous PTO;
- Casual dress, game room, free meals, and commuter benefits;
- Join an established global firm with growth opportunities, that prioritizes promoting from within;
Interested in this Compliance Analyst role? Apply for immediate consideration.