Trading Compliance Analyst

Base pay range $80,000.00/yr - $100,000.00/yr This range is provided by Atlas Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Job Title Compliance Analyst Job Description 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. Seniority level Associate Employment type Full-time Job function Finance Industries Staffing and Recruiting #J-18808-Ljbffr