Trading Compliance Analyst

Jain Global LLC; New York, Northern (NY, KY); Hybrid; USD 90,000 - 115,000; Full time

Benefits offered by this job

Base salary

Discretionary bonus

Comprehensive benefits

Job summary

Jain Global LLC seeks a diligent Trading Compliance Analyst to join the Legal & Compliance team in New York. You will monitor trading activities for regulatory compliance, assist in regulatory reporting, and review monitoring reports for internal and regulatory limits.

Collaboration with Trading, Risk and Operations is essential to ensure comprehensive issue resolution. The ideal candidate has 1–3 years in compliance or related fields, strong communication skills, and a high level of

Qualifications

• 1–3 years of experience in compliance or related field.
• Excellent written and verbal communication skills.
• High level of professionalism and integrity.

Responsibilities

• Monitor trading activities for regulatory compliance and pre-trade controls.
• Assist with regulatory reporting and filings (SEC, FINRA, CFTC and others).
• Review automated monitoring reports for limits and wall crossing.
• Collaborate with Trading, Risk and Operations to address issues.
• Support regulatory updates and long-term compliance projects.

Skills

Analytical mindset

Attention to detail

Communication skills

Professionalism

Job description

## Trading Compliance AnalystApply: New York, New York: Full time: Posted 4 Days Ago: JR100577## 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.**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 an inclusive environment can yield exceptional contributions.Location: New York, NY