Trading Compliance Analyst

Atlas Search; Miami (FL); On-site; USD 80,000 - 100,000; Full time

Job summary

A prestigious recruiting firm in Miami is seeking a Compliance Analyst to conduct trading surveillance and ensure adherence to financial regulations. The ideal candidate will have 3-5 years of relevant experience and a Bachelor's degree in Finance or Economics. Strong communication, analytical skills, and proficiency in Excel are essential. This full-time role offers a competitive salary between $80,000.00 and $100,000.00 per year.

Qualifications

• Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
• Specific experience in equity or futures market is preferred.
• Series 7 or 3 is a plus.

Responsibilities

• General trading surveillance reviews focusing on market manipulation and insider trading.
• Monitoring daily surveillance reports using exception reports and other tools.
• Reviewing trade alerts and escalating findings as needed.

Skills

3-5 years of experience

Strong communication and analytical skills

Creative problem-solving abilities

Advanced proficiency in Excel

Team player with enthusiasm for trading markets

Education

Bachelor’s degree in Finance, Economics or similar

Tools

Nasdaq Trade Surveillance System (NTS)

Actimize

Tableau

Job description

Base pay range

$80,000.00/yr - $100,000.00/yr

This range is provided by Atlas Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Job Title

Compliance Analyst

Job Description

• General trading surveillance reviews, including focus on potential market manipulation and insider trading.
• Monitoring daily surveillance reports using exception reports and other tools
• Review Trade alerts and escalate findings as needed
• Undertaking special compliance related projects as assigned
• Maintaining accurate, organized compliance books and records

Qualifications/Skills Required

• 3-5 years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
• Specific experience in equity or futures market is preferred
• Bachelor’s degree in Finance, Economics or similar is preferred.
• Series 7 or 3 is a plus.
• Strong communication and analytical skills.
• Creative problem-solving abilities.
• Ability to manage multiple tasks simultaneously.
• Strong attention to detail with a solid sense for discretionary escalation.
• Ability to identify complex problems and evaluate options based on related information.
• Highly motivated self-starter with flexibility to work under pressure and meet deadlines.
• Team player with enthusiasm for trading markets.
• Advanced proficiency in Excel, particularly in working with large data sets.
• Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Finance

Industries

• Staffing and Recruiting