Trade Compliance Analyst — ETFs & Mutual Funds

SPECTRAFORCE; Alpharetta (GA); On-site; USD 80,000 - 90,000; Full time

Benefits offered by this job

PTO + 10 paid holidays

Daily paid lunch (on-site)

EAP & mental health telehealth

Short/Long Term Disability

SIMPLE IRA with 3% match

Job summary

A financial services firm in Alpharetta is seeking a Compliance Analyst responsible for ensuring trading activities comply with securities laws and regulations. The successful candidate will maintain trade compliance rules, engage with stakeholders, and conduct audits. Ideal applicants have 1–3 years of experience in ETF/mutual fund compliance and strong organizational skills. The position offers competitive compensation and benefits including PTO, on-site lunch, and a SIMPLE IRA match.

Qualifications

• 1–3 years of relevant experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

Responsibilities

• Maintain and monitor pre- and post-trade compliance rules.
• Analyse daily trades for compliance with regulations.
• Flag and escalate suspicious or non-compliant activity.
• Conduct audits to test control effectiveness.
• Support new account onboarding and launch calls.
• Monitor regulatory changes and help implement policies.

Skills

Experience in ETF/mutual fund trade compliance

Detail-oriented

Strong organizational skills

Strong communication skills

Self-motivated

Proficient in Microsoft Office

Education

Bachelor's degree or equivalent experience

Tools

Bloomberg CMGR

Job description

A financial services firm in Alpharetta is seeking a Compliance Analyst responsible for ensuring trading activities comply with securities laws and regulations. The successful candidate will maintain trade compliance rules, engage with stakeholders, and conduct audits. Ideal applicants have 1–3 years of experience in ETF/mutual fund compliance and strong organizational skills. The position offers competitive compensation and benefits including PTO, on-site lunch, and a SIMPLE IRA match.