ABOUT THIS ROLEThe role of the Senior Compliance Analyst is to work collaboratively with other members of the Compliance Department to develop, implement and administer an effective firm-wide compliance program. In addition to general administration and core compliance functions, responsibilities will include developing, documenting,
maintaining, implementing and overseeing the necessary and diverse compliance policies and procedures for an options market making and proprietary trading broker-dealer. The ideal candidate for this position must be experienced with SEC and broker-dealer regulatory compliance requirements, options trading, risk-based
audits, and have a strong project management background.
You'll be responsible for: - Ensure that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm's business practices and processes.
- Enhance, develop, and deploy comprehensive and ongoing compliance and ethics training.
- Manage various firm-wide compliance program requirements, including handling and monitoring information barrier issues, conflicts of interest, restricted trading list, and employee disclosures.
- Evaluate and redesign compliance and other department processes and reviews to demonstrate strong internal controls, mitigate risk, and create efficiencies.
- Conduct comprehensive compliance reviews and risk assessments of business activities, practices and controls; identify and mitigate potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.
- Oversee existing surveillance and enhance as appropriate; establish testing plan; prepare comprehensive management reports of status and progress of surveillance initiatives.
- Conduct email reviews, enhance existing email policies, practices, and assist in managing the compliance portion of email vendor relationships.
- Assist in assessing new and existing vendor solutions and managing vendor changes and service enhancements.
- Assist with maintenance of required books and records.
- Investigate and resolve compliance-related inquiries from employees; ability to seek interpretations and provide guidance on non-routine and often complex matters.
- Assist with compliance training programs for employees to foster awareness and understanding of regulatory requirements.
- Manage FINRA CRD, including individual U-4 and U-5 updates.
- Assist in the preparation of regulatory filings, including responses to regulatory inquiries.
- Assist other compliance personnel by reviewing and preparing reports and presentations, ensuring accuracy and clarity in all documentation.
- Ownership over initiatives that directly solve business problems.
YOUR EXPERIENCE: - Minimum 3-5 years of relevant compliance experience, ideally within options trading.
- Strong working knowledge of U.S. regulatory rules and interpretations for broker-dealers, including but not limited to, CBOE, SEC, and FINRA Rules.
- Effective leadership, superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters.
- Exceptional verbal and written communication skills; ability to communicate at all levels.
- Highly motivated with capability to work with minimum supervision on a wide range of matters.
- Proactive individual with strong deadline focus and extraordinary attention to detail orientation.
- Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.
- Strong project management, leadership, and general MS Office software application skills.
- Very strong analytical skills (understanding of complex regulatory requirements with ability to apply to supported businesses).
- Series 57 securities license or required to obtain within 60 days.
- Series 24 securities license.
- Experience with FINRA Central Registration Depository (CRD) database.
- Experience with Global Relay and ComplySci platforms is a plus
OUR REWARDSWe offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. As a hybrid workforce, we offer our employees the ability to work remotely up to two days a week.
Base pay offered may vary depending on job-related knowledge, skills, experience, and office location. This position also may be eligible for a discretionary annual bonus in addition to a range of health & wellness benefits, enhancing your overall compensation package.
Base Salary Range$88,000-$110,000
