Florida Licensed Compliance Analyst
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Job Summary
Supporting daily regulatory reporting operations, the full-time Florida Licensed Compliance Analyst will monitor submissions, investigate reporting errors, and collaborate with various teams to ensure compliance with trading regulations in a remote setting.
Key responsibilities
- Oversee daily regulatory reporting for the broker dealer and FCM, ensuring timely and accurate submissions
- Identify and escalate reporting errors related to Consolidated Audit Trail and other regulatory requirements
- Process regulatory requests and maintain documentation in accordance with compliance protocols
Required qualifications
- Bachelor's degree
- Series 7 required or to be obtained within 90 days of employment
- Understanding of SEC, FINRA, NFA, and CFTC regulatory requirements
- Familiarity with trade reporting processes such as CAT and LOPR
- 3+ years of compliance, regulatory, or financial services experience preferred
Complete Job Description
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