Compliance Analyst – Temporary

This is a fully remote position, open to applicants in United States.

📋 Description

• Perform daily trade evaluations and monitoring utilizing TRACE, ACT, CAT, TOMS, and Trafix.

• Raise exceptions and maintain documentation for follow-up actions.

• Review and authorize Desk Notes, Trade Commentary, and other communications to ensure compliance with FINRA Rule 2210 and company policies.

• Examine Fixed Income Research reports for compliance with formatting and necessary disclosures prior to publication, collaborating with the Research supervisor.

• Manage new hire registrations, terminations, and modifications of employee information within FINRA WebCRD and MCO.

• Oversee continuing education and outside activity obligations.

• Assist with regulatory examinations, inquiries, and annual compliance procedures.

• Contribute to the firm's daily surveillance and supervisory framework for fixed income and equity sales, trading, and research operations.

⛳️ Requirements

• At least 3 years of pertinent experience in Compliance.

• Bachelor’s degree in a related field is preferred.

• Practical experience in a broker-dealer environment.

• Familiarity with FINRA regulations and regulatory reporting systems.

• Active FINRA registrations are required.

• Understanding of FINRA communication regulations regarding the review of Desk Notes and Trade Commentary.

• Knowledge of FINRA communication standards for evaluating and approving Fixed Income Research in terms of format and required disclosures.

• Proficient in using TRACE, ACT, CAT, TOMS, and Trafix for daily trade assessments.

• Awareness of equity trading and Regulation NMS.

• Experience with MCO for handling new hires and updates to employee information.

• Competence with FINRA WebCRD for processing new hires and changes to employee information.

• Valid FINRA registration is a must.

• Series 7 and Series 24 certifications are preferred.

🏝️ Benefits

• Temporary position anticipated to last around 2–3 months, potentially extending based on business requirements.

• Flexible work location and arrangement.