Trade Compliance 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

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: $100,000.00/yr - $130,000.00/yr

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

Responsibilities

• 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

Qualifications

• 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

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Finance