Compliance Analyst

About the position

We are looking for a Compliance Analyst to support the day-to-day operations of our Legal & Compliance team and drive a variety of projects. In this role, you’ll work alongside seasoned colleagues to maintain the documentation, controls, and processes that keep our surveillance workflows running smoothly. You’ll also serve as a key liaison between our team and the rest of the firm, often acting as a first point of contact for traders, technologists, and other colleagues.

Additional responsibilities of the role will include:

• Maintaining and updating market maker lists, including registrations and ongoing changes
• Updating restricted and sanctions lists, ensuring accuracy and timely distribution
• Performing information barrier checks, verifying that client order permissions are set appropriately for traders
• Disclosing new accounts to exchanges and track submissions through completion
• Reviewing options market maker report cards from exchanges, summarizing findings, and helping to follow up on any required actions
• Gathering and organizing information needed for securities class action claims

About You

• 1-3 years of experience in a legal & compliance environment; no specific regulatory or policy exposure required
• Proactive self-starter with excellent attention to detail, organization, and follow-through
• Discrete and trustworthy; able to use good judgment to make real-time decisions
• Clear, concise communicator with colleagues and external partners
• Comfortable asking questions, surfacing issues early, and owning mistakes
• Reliable and flexible team player with a positive attitude and learns quickly from feedback
• Able to work independently, escalate when necessary and proactively drive tasks and projects to completion 

If you're a recruiting agency and want to partner with us, please reach out to [email protected].