Florida Licensed Compliance Analyst

Job Summary

A company is looking for a Senior Compliance Analyst for Trade Reporting.

Key Responsibilities

• Oversee regulatory reporting, systems, errors, and timely submissions
• Support compliance with exchange memberships and federal, state, and SRO rules
• Collaborate with various departments to establish compliance controls and monitor activities

Required Qualifications

• 3-5+ years of compliance experience
• FINRA Series 7 required
• Bachelor's college degree preferred
• FINRA Series 24 and NFA Series 3 preferred
• Understanding of regulatory requirements around trading activities