Trade Compliance Analyst Job at Solomon Page, New York, NY

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  • Solomon Page
  • New York, NY

Job Description

Overview

Our client is looking to fill their Senior Compliance Analyst role and they're in need of someone who has a deep knowledge of SEC and FINRA regulations to cover their business.

Location(s) Available: Chicago, IL / Greenwich, CT / Ft Lauderdale, FL

Base pay range: $100,000.00/yr - $130,000.00/yr

Salary: $100-$130k base w/ 20% bonus

Responsibilities
  • Support compliance coverage of the firms technology and data enterprise, and coverage for broker-dealer clients
  • Design periodic and adhoc supervisory reports and complete associated reviews
  • Engage with stakeholders across technology and operations teams and support them in an advisory capacity
  • Implement internal control enhancements and appropriately solution potential compliance matters
  • Assist draft business specifications to create and improve surveillance and compliance tools
  • Assist coordinate responses to regulatory inquiries from foreign and US regulators
  • Draft and implement firm policies, controls and written supervisory procedures
Qualifications
  • 5+ years experience with a broker-dealer, investment manager or regulator
  • Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
  • Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
  • Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc.
  • High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
  • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
  • Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus
Seniority level
  • Mid-Senior level
Employment type
  • Full-time
Job function
  • Finance

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Job Tags

Full time,

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