Trading Compliance Analyst (Hybrid) | AI & Automation

Loomis, Sayles & Company

Boston (MA)

Hybrid

USD 65,000 - 85,000

Full time

4 days ago

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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.