5 дней назад
Trading Compliance Analyst
90 000 - 115 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Trading Compliance Analyst (Financial Regulation): Monitoring trading activity and transactions for compliance with regulatory requirements, internal policies, and pre-trade controls with an accent on SEC, FINRA, CFTC, and Rule 105 oversight. Focus on identifying potential breaches, reviewing ownership limits, managing wall crossings, and coordinating compliance matters with Trading, Risk, and Operations.
Location: New York, New York, United States
Base salary: $90,000–$115,000 per year, plus discretionary bonus and comprehensive benefits.
Company
is a multi-strategy investment firm founded in July 2024, with more than 400 employees and offices in New York, Houston, London, Singapore, and Hong Kong.
What you will do
- Monitor trading activities and transactions against regulatory requirements and pre-trade controls.
- Identify, investigate, and report anomalies or potential compliance breaches.
- Review automated monitoring reports for positions approaching internal or regulatory limits.
- Monitor compliance with Rule 105 of Regulation M and maintain related records and documentation.
- Manage the wall crossing process and support regulatory reports, filings, reviews, and inquiries.
- Collaborate with Trading, Risk, and Operations on compliance issues, procedures, and regulatory updates.
Requirements
- 1–3 years of professional experience and a demonstrated record of achievement in academic and professional settings.
- Strong problem-solving skills, attention to detail, and the ability to manage multiple tasks efficiently.
- Excellent written and verbal communication skills.
- High professionalism and integrity, with the ability to handle confidential information discreetly.
- Experience in paralegal work, accounting, financial operations, compliance, or investment management is beneficial but not required.
- Ability to work in New York, New York.
Culture & Benefits
- Full-time employment within the Legal & Compliance team.
- Comprehensive benefits package.
- Discretionary bonus.
- Inclusive environment focused on diverse perspectives and professional contribution.
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