Trading Desk Associate Regulatory Analyst

Yoh Services LLC; New York (NY); On-site; USD 88,000 - 125,000; Full time

Benefits offered by this job

Medical benefits

Dental & Vision

401K Retirement Savings Plan

Life & Disability Insurance

EAP

Job summary

Yoh is seeking a Trading Desk Associate Regulatory Analyst to support equity trading governance and regulatory adherence. The role emphasizes market integrity, risk oversight, and cross-team collaboration in a hybrid New York setting.

Ideal candidates have a finance/markets background, 2+ years in supervision/compliance, and FINRA licensing readiness. This permanent FT position includes competitive pay and benefits.

Qualifications

• Bachelor’s Degree and a minimum of two (2) years in a Capital Markets supervision/compliance role within the financial services industry.
• Knowledge of regulatory rules, including CAT reporting, trade reporting, best execution, market manipulation, SEC order handling a plus.
• Analytical skills to follow life cycle of orders, routes and executions.
• Ability to interact directly with traders and sales personnel to understand transaction circumstances or explain procedures.

Responsibilities

• Conduct daily surveillance and data quality reviews of equity trading activity to ensure compliance with exchange and FINRA rules.
• Oversee exception reports related to market manipulation risks, insider dealing, and abnormal trading patterns.
• Manage daily CAT administration, data repairs, and internal reporting to maintain data integrity.
• Analyze trading patterns for best execution, error rates, and overall trade surveillance effectiveness.
• Perform reviews covering Reg NMS, Short Sales, and Trade Reporting.

Skills

Regulatory compliance

Data surveillance

Analytical skills

Communication skills

Excel

Education

Bachelor's degree in Finance/Capital Markets

Tools

Fidessa

Job description

Trading Desk Associate Regulatory Analyst

Join our client's dynamic team supporting the forefront of equity trading and regulatory compliance as a Trading Desk Associate Regulatory Analyst. In this pivotal role, you will be instrumental in ensuring our client's trading activities uphold the highest standards of market integrity and regulatory adherence.

Job Details:

Duration: Permanent Full Time Employee
Pay Rate: $87,500- $125,000
Location:Hybrid 3-4x a week onsite NY

What You’ll Do:

• Conduct thorough daily surveillance and data quality reviews of equity trading activity to ensure compliance with exchange and FINRA rules.
• Oversee exception reports related to market manipulation risks, insider dealing, and abnormal trading patterns.
• Manage daily CAT administration, data repairs, and internal reporting to maintain data integrity.
• Analyze trading patterns for best execution, error rates, and overall trade surveillance effectiveness.
• Perform comprehensive reviews covering various regulatory requirements including Reg NMS, Short Sales, and Trade Reporting.
• Review electronic communications and contribute to regulatory inquiries and internal audits.
• Collaborate with trading, compliance, and vendor teams to stay ahead of regulatory rule changes.

Knowledge, Skills, and Abilities

• Bachelor’s Degree and a minimum of two (2) years in a Capital Markets supervision/compliance role within the financial services industry.
• Knowledge of regulatory rules, including but not limited to CAT reporting, trade reporting, best execution, market manipulation, SEC order handling a plus.
• Analytical skills to follow life cycle of orders, routes and executions.
• Ability to interact directly with traders and sales personnel in order to understand particular circumstance of a transaction or instruct personnel on new procedures or requirements.

• Strong verbal and written communication.
• Proficiency in Microsoft Office Suite, particularly Excel.
• Experience with Fidessa a plus.

Licenses/Certifications

• FINRA Registrations Series 7, 55/57 (or ability to pass within 1 year)

Estimated Min Rate: $87500.00

Estimated Max Rate: $125000.00

What’s In It for You?

Benefits include:

• Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
• Health Savings Account (HSA) (for employees working 20+ hours per week)
• Life & Disability Insurance (for employees working 20+ hours per week)
• MetLife Voluntary Benefits
• Employee Assistance Program (EAP)
• 401K Retirement Savings Plan
• Direct Deposit & weekly epayroll
• Referral Bonus Programs
• Certification and training opportunities

Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.

For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

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