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

Job summary

Loomis Sayles, a global asset management firm, seeks a Trading Compliance Analyst to support trade surveillance, regulatory oversight, and data-driven initiatives. The role provides exposure to complex trading activity, regulatory frameworks, and AI-enabled solutions in a hybrid environment.

Ideal candidates hold a Bachelor’s degree with 1–3 years in compliance or financial services and advanced Excel skills.

Qualifications

• Bachelor’s degree required.
• 1–3 years of experience in compliance, financial services or related field preferred.
• Advanced proficiency in Microsoft Excel with large datasets and lookups.

Responsibilities

• Conduct daily reviews of trade surveillance reports (Fixed Income New Issues, Cancelled & Modified Orders, Dropped Accounts, Regulation M activity).
• Identify and escape potential compliance exceptions per firm policies.
• Monitor employee access to deal information via platforms like FinDox.
• Respond to broker-dealer inquiries related to QIB and Regulation S certifications.
• Surveil employee communications to ensure regulatory compliance.
• Monitor expert network interactions for information-sharing risk.
• Compile/analyze data for audits/regulatory exams and client reporting.
• Develop Excel-based reporting and support automation/efficiency.
• Partner on AI-driven compliance initiatives and process improvements.
• Support compliance team on projects and provide administrative assistance.

Skills

Attention to detail

Analytical thinking

Communication skills

Team collaboration

Education

Bachelor's degree

Tools

CRD system

Job description

Loomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. We believe active management fueled by proprietary, best-in-class research helps us achieve financial success for our clients. Founded in 1926, Loomis Sayles currently oversees approximately $434.6 billion in assets under management (as of 30 June 2026) for global clients spanning more than 50 countries.

We foster a culture of entrepreneurialism, where all employees are empowered and encouraged to develop themselves and their ideas. Our culture centers on our shared IDEALS, the core characteristics of who we aspire to be as employees and an organization.

INCLUSIVE & DIVERSE-DEDICATED TO TEAMWORK-EXCELLENT-ACCOUNTABLE-LEADERS-SOLUTIONS-ORIENTED

About The Role

Loomis Sayles is committed to the continual improvement of our performance, processes and people. As part of this commitment, we are looking to hire an enthusiastic and passionate candidate, eager to contribute to our continued success through the following employment opportunity:

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 escape 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 reportingli>
• 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.

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.

Global Benefit Statement

At Loomis Sayles, we believe benefits should empower our employees to thrive - at work and beyond. To attract and retain diverse talent worldwide, we are committed to offering comprehensive, competitive benefits that support your well-being, your family and your future. Designed with both local and global needs in mind, our benefits ensure that wherever you work, you have the support and resources to succeed.

EEOC and Diversity Statement

Loomis Sayles is deeply committed to building a diverse and inclusive workforce in which talented individuals can realize their full potential and contribute to our growth and success. Please consider applying for this role even if your work history and skillset doesn’t completely match the job description. We believe creativity, tenacity and humility are as valuable as specific skills that can be practiced and perfected on the job.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, creed, color, gender, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.