Trading Compliance Analyst

Jain Global; New York (NY); On-site; USD 90,000 - 115,000; Full time

Job summary

Jain Global in New York, NY is seeking a Trading Compliance Analyst to join our Legal & Compliance team. The role focuses on ensuring trading activities comply with regulatory requirements and internal policies, requiring strong analytical skills and meticulous attention to detail.

Responsibilities include monitoring trades for regulatory and pre-trade controls, supporting SEC/FINRA/CFTC filings, reviewing monitoring reports, and collaborating with Trading, Risk, and Operations while staying

Qualifications

• 1-3 years of experience in compliance, paralegal work, or related fields.
• Strong written and verbal communication skills.
• Ability to handle confidential information with discretion.

Responsibilities

• Trade monitoring to ensure regulatory compliance and pre-trade controls.
• Assist in SEC, FINRA, CFTC, and other regulatory filings and reports.
• Review automated monitoring reports to identify positions nearing limits.
• Maintain records for Rule 105 compliance and regulatory inquiries.
• Collaborate with Trading, Risk, and Operations to address issues.

Skills

Attention to detail

Communication skills

Problem solving

Job description

Trading Compliance Analyst

Jain Global is an innovative multi-strategy investment firm founded in July 2024 by Bobby Jain with over 400 employees operating from offices in New York, Houston, London, Singapore, and Hong Kong, we are looking to add to our growing teams.

Job Description

Jain Global is an innovative multi-strategy investment firm founded in July 2024 by Bobby Jain with over 400 employees operating from offices in New York, Houston, London, Singapore, and Hong Kong, we are looking to add to our growing teams.

Role Overview

Jain Global is seeking a highly motivated and detail-oriented Trading Compliance Analyst to join our Legal & Compliance team. The ideal candidate will play a key role in ensuring that our trading activities are conducted in accordance with regulatory requirements and internal policies. The role demands a strong analytical mindset, keen attention to detail, and excellent communication skills.

Responsibilities

• Trade Monitoring: Continuously monitor trading activities and transactions to ensure compliance with regulatory requirements and pre-trade controls. Identify and report any anomalies or potential compliance breaches.
• Regulatory Compliance: Ensure adherence to all relevant regulations, including SEC, FINRA, CFTC, and other applicable rules. Assist in the preparation and submission of regulatory reports and filings.
• Ownership Monitoring: Review automated compliance monitoring reports to identify positions that approach any internal or regulatory limits.
• Rule 105 Compliance Monitoring: Regularly review and monitor trading activities to ensure adherence to Rule 105 of Regulation M. Maintain detailed records of compliance checks related to Rule 105 and assist in preparing reports or documentation required for regulatory reviews or inquiries.
• Wall Crossing: Handle the wall crossing process to ensure compliance with regulatory requirements and internal policies.
• Cross-Departmental Collaboration: Work closely with other departments, such as Trading, Risk, and Operations, to ensure that compliance issues are addressed comprehensively and that defined procedures are being appropriately followed.
• Regulatory Updates: Assist with long-term projects to maintain the firm’s high standards of compliance with new and existing regulations.

Qualifications

• 1-3 years of experience along with a demonstrated record of achievement in academic and professional endeavors.
• Prior experience in paralegal work, accounting, financial operations, compliance, or investment management is beneficial but not required.
• Strong problem-solving abilities. Attention to detail and the capacity to manage multiple tasks efficiently.
• Excellent written and verbal communication skills.
• High level of professionalism and integrity. Ability to handle confidential information with discretion.

Compensation

Jain Global offers a total compensation package which includes a base salary, discretionary bonus, and comprehensive benefits. The estimated base salary range for this position is $90,000 to $115,000, which is specific to New York and may change in the future. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.

We are an Equal Opportunity Employer

As an employer, we believe every individual brings with them unique diversity of thought and perspectives to meaningfully enrich perspectives of Jain Global teams to drive competitive performance. We believe a inclusive environment can yield exceptional contributions.

Location: New York, NY