[Hiring] Compliance Analyst @TradeStation

Role Description

We are looking for a Compliance Analyst for Trade Reporting who will support the daily regulatory reporting operations for the broker dealer and the FCM, learning the daily order of operations, monitoring reporting activity, repairing errors, and escalating exceptions promptly. This role works closely with Brokerage Operations, Futures Back Office, Technology and external reviewers to ensure timely and accurate submissions and to resolve issues.

• Oversee daily regulatory reporting for the broker dealer and the FCM, monitoring files, reports and logs to confirm timely, accurate submissions.
• Identify, investigate, repair and escalate Consolidated Audit Trail (CAT) and Reference Database reporting rejections, errors and data exceptions.
• Monitor LOPR reports and householding processes, reconciling positions, and escalating unmatched or unusual items.
• Process and respond to regulatory requests and filings from the SEC, FINRA, CFTC, CME, and other self-regulatory organizations, including Large Trader identification and BlueSheets requests.
• Perform periodic accuracy validations, reviews and outreach to support ongoing reporting obligations.
• Support regulatory change initiatives in line with Compliance and Firm goals, assisting with the development of compliance controls, compliance procedures, and testing.
• Collaborate with Brokerage Operations, Technology, Risk Management and Internal Audit to resolve issues and support key control oversight.
• Maintain documentation, tracking and evidence of reviews completed according to established protocols.
• Assist in other areas of Compliance as needed.

Qualifications

• Understanding of, or demonstrated interest in learning, SEC, FINRA, NFA, CFTC and other regulatory requirements around trading activities and position reporting.
• Familiarity with, or willingness to learn, CAT (including the Reference Database), CFTC OCR, LOPR, Large Trader Identification (SEC Rule 13h-1), Blue Sheets, Reg NMS, Rule 606, SEC Rule 15c3-5, TRACE and MSRB trade reporting.
• Strong verbal and written communication skills with the ability to develop creditable relationships with internal and external partners.
• Excellent business judgment and problem-solving skills.
• A self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments.
• Ability to manage multiple recurring daily, weekly and ad hoc tasks simultaneously in a deadline-intensive environment, with sound judgment on when to escalate.
• Highly organized, detail-oriented, and energetic individual with strong Excel skills and the discipline to follow a daily checklist and maintain accurate logs.
• Strong abilities in analytical thinking, problem solving, research, and time management.
• Must exhibit the highest standards of integrity and maintain confidentiality.

Requirements

• Series 7 required or obtained within 90 days of employment.
• Bachelor’s degree.

Desired Qualifications

• 3+ years of compliance, regulatory or financial services experience.
• Series 3.

Benefits

• Collaborative work environment.
• Competitive Salaries.
• Yearly bonus.
• Comprehensive benefits for you and your family starting Day 1.
• Unlimited Paid Time Off.
• Flexible working environment.
• TradeStation Account employee benefits, as well as full access to trading education materials.
• Pay Range (US) $78-88K (Countries outside of the US have differing ranges in accordance with local labor markets).