Senior 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 submission
• Support compliance with multiple exchange memberships and regulatory changes
• Collaborate with various departments to ensure effective compliance controls and monitor compliance activities

Required Qualifications

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