Trading Compliance Analyst: Risk & Regulatory Monitor

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

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