Senior Trade Compliance & Regulatory Analyst

Solomon Page; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A financial services company is seeking a Senior Compliance Analyst with expertise in SEC and FINRA regulations. This role involves supporting compliance coverage, designing supervisory reports, and engaging with stakeholders to enhance internal controls. Candidates should have over 5 years of experience in a related financial role and a relevant academic background. This is a full-time position with a salary range of $100,000 to $130,000 plus a bonus.

Qualifications

• 5+ years’ experience in a relevant financial sector.
• Solid academic background in a related field.
• Understanding of technology's role in compliance.

Responsibilities

• Support compliance coverage for technology and data enterprise.
• Design and review supervisory reports.
• Engage with stakeholders in an advisory capacity.

Skills

Deep knowledge of SEC and FINRA regulations

Experience with broker-dealers

Ability to develop compliance solutions

High degree of comfort with technology

Education

Bachelor's or Master's in Finance, Computer Science, Data Sciences, or Information Systems

Tools

UNIX

SQL

Perl

Job description

A financial services company is seeking a Senior Compliance Analyst with expertise in SEC and FINRA regulations. This role involves supporting compliance coverage, designing supervisory reports, and engaging with stakeholders to enhance internal controls. Candidates should have over 5 years of experience in a related financial role and a relevant academic background. This is a full-time position with a salary range of $100,000 to $130,000 plus a bonus.