Trading Compliance Analyst

Loomis, Sayles & Company; Boston (MA); Hybrid; USD 65,000 - 85,000; Full time

Benefits offered by this job

Hybrid work model

Discretionary annual incentive

Comprehensive benefits package

Job summary

Loomis Sayles & Company in Boston seeks a Trading Compliance Analyst to support trade surveillance, regulatory oversight, and data-driven initiatives. The role exposes you to complex trading activity, AI-enabled solutions, and regulatory frameworks.

You will conduct surveillance, analyze data, automate reporting in Excel, and collaborate on AI-driven compliance improvements. The position follows a hybrid schedule with three days in the Boston office and offers a comprehensive benefits package.

Qualifications

• Bachelor's degree required.
• 1–3 years of experience in compliance or related field.
• Advanced proficiency in Microsoft Excel handling large datasets.
• Demonstrated interest in automation, technology and AI-driven solutions.
• Familiarity with automated compliance systems such as CRD is a plus.

Responsibilities

• Conduct daily reviews of trade surveillance reports and activities.
• Identify and escalate potential compliance exceptions per firm policies.
• Monitor access to deal information via platforms like FinDox.
• Respond to broker-dealer inquiries related to QIB and Reg S certifications.
• Surveil employee communications for regulatory compliance.
• Support monitoring of expert network interactions for information-sharing risks.
• Compile and analyze data for audits, regulatory exams and client reporting.
• Develop reporting in Excel and assist with automation and efficiency improvements.
• Collaborate on AI-driven compliance initiatives and process improvements.
• Provide project support to the compliance team and administrative assistance.
• Commute to Boston office 3 days a week (Tue–Thu).

Skills

Advanced Excel

Automation interest

AI-driven solutions

Strong analytical skills

Education

Bachelor's degree

Tools

FinDox

CRD

Job description

About the Role

At Loomis Sayles, Trading Compliance is a strategic partner in protecting client assets, preserving market integrity, and enabling responsible innovation.

The Trading Compliance Analyst will play a critical role within the compliance department by supporting trade surveillance, regulatory oversight and data-driven initiatives. This role provides exposure to complex trading activity, regulatory frameworks, and emerging technologies, including AI-enabled solutions.

Job Responsibilities

• Conduct daily reviews of trade surveillance reports, including Fixed Income New Issues, Cancelled and Modified Orders, Dropped Accounts, Regulation M activity, etc.
• Identify and escalate potential compliance exceptions in accordance with firm policies
• Monitor employee access to public and private deal information via platforms such as FinDox
• Respond to broker-dealer inquiries related to QIB and Regulation S certifications
• Conduct surveillance of employee communications to ensure compliance with regulatory standards
• Support monitoring of expert network interactions for potential information-sharing risks
• Compile and analyze data for audits, regulatory examinations, and client reporting
• Develop reporting using Excel, and support automation and efficiency enhancements
• Partner on AI-driven compliance initiatives and process improvements
• Support members of the compliance department on projects
• Provide administrative support to members of compliance – scheduling meetings, document formatting support, spreadsheet data entry, electronic document filing, etc.
• This position requires commuting to the Boston office 3 days a week, from Tuesday to Thursday

Qualifications & Education Requirements

• Bachelor's degree
• At least 1-3 years of experience in compliance, financial services or related field
• Advanced proficiency in Microsoft Excel, including large datasets and lookup functions
• Demonstrated interest in automation, technology and AI-driven solutions
• Familiarity with automated compliance systems (such as CRD) a plus

Core Competencies

• Exceptional attention to detail and organizational skills
• Ability to manage competing priorities and meet deadlines
• Strong analytical and problem-solving capabilities
• Effective written and verbal communication skills
• Collaborative team player across functions

Additional Requirements

The position follows a hybrid schedule with two days work from home and three days work from office.

Loomis Sayles is committed to offering competitive and equitable compensation. The salary range for this position is $65,000 - $85,000 USD. Your starting salary will be based on your experience, skills, qualifications and local benchmarking. This position is also eligible for a discretionary annual incentive award, which is based on individual and company performance. In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.