Trading Compliance Analyst (Hybrid) — AI & Surveillance

Socket.dev; Boston (MA); Hybrid; USD 65,000 - 85,000; Full time

Benefits offered by this job

Hybrid work schedule

Discretionary annual incentive

Comprehensive benefits package

Employee wellness programs

Job summary

Loomis Sayles is seeking a Trading Compliance Analyst to support trade surveillance, regulatory oversight, and data-driven initiatives. You will engage with AI-enabled solutions and complex trading activity in a hybrid Boston-based role.

The role requires 1–3 years in compliance, strong Excel skills, and a passion for automation. You will commute to the Boston office three days per week, with two days remote, contributing to client and regulatory reporting efforts.

Qualifications

• Bachelor’s degree in a relevant field.
• 1–3 years of experience in compliance or financial services.
• Advanced proficiency in Microsoft Excel, including large datasets and lookups.
• Demonstrated interest in automation, technology and AI-driven solutions.

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 escalation 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 reporting.
• 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.
• This position requires commuting to the Boston office 3 days a week, from Tuesday to Thursday.

Skills

Excel

Automation

AI solutions

CRD familiarity

Education

Bachelor’s degree

Tools

CRD

Job description

Loomis Sayles is seeking a Trading Compliance Analyst to support trade surveillance, regulatory oversight, and data-driven initiatives. You will engage with AI-enabled solutions and complex trading activity in a hybrid Boston-based role.

The role requires 1–3 years in compliance, strong Excel skills, and a passion for automation. You will commute to the Boston office three days per week, with two days remote, contributing to client and regulatory reporting efforts.