Compliance Analyst

Compliance Analyst

Position Details

• General trading surveillance reviews, including focus on potential market manipulation and insider trading.
• Monitoring daily surveillance reports using exception reports and other tools
• Review Trade alerts and escalate findings as needed
• Undertaking special compliance related projects as assigned
• Maintaining accurate, organized compliance books and records

Qualifications/Skills Required

• 3-5 years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
• Specific experience in equity or futures market is preferred
• Bachelor’s degree in Finance, Economics or similar is preferred.
• Series 7 or 3 is a plus.
• Strong communication and analytical skills.
• Creative problem-solving abilities.
• Ability to manage multiple tasks simultaneously.
• Strong attention to detail with a solid sense for discretionary escalation.
• Ability to identify complex problems and evaluate options based on related information.
• Highly motivated self-starter with flexibility to work under pressure and meet deadlines.
• Team player with enthusiasm for trading markets.
• Advanced proficiency in Excel, particularly in working with large data sets.
• Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus.
• Familiarity with creating and maintaining metrics reporting dashboards to track compliance activities and performance.

This role is ideal for candidates who thrive in a fast-paced environment, possess a keen eye for detail, and have a passion for compliance and trading markets. The ability to generate and interpret metrics reports will be a key component of success in this position.