Compliance Analyst at Clear Street
At Clear Street, we are disrupting the institutional brokerage and clearing market by modernizing archaic industry segments with brand new technology. We’re changing the way institutional investors interact with the markets; offering an alternative to working with big banks. Our cloud-based API technology will empower clients to clear, settle, and finance trading activity while accessing real-time risk and position information. Our platform is built on an incredibly modern tech-stack, by pragmatic engineers focused on building intuitive and frictionless user experiences. Our tech-infused suite of customer experience-oriented prime service offerings will increase our clients’ efficiency and provide real-time insights they’ve never previously experienced.
As our Compliance Analyst, you will work directly with our Chief Compliance Officer as part of a highly motivated, exceptionally talented, and deeply focused team. Together you will define and operationalize a robust compliance program by researching and reviewing applicable FINRA and Exchange rules and SEC regulations. Additionally, you’ll help develop, implement, and review surveillance reports, resolving regulatory reporting issues.You will analyze our order and trade data to assist with regulatory audit preparation. You will collaborate with colleagues across the organization, ensuring our Compliance Team’s effectiveness. You’ll need to hold or pass the Securities Industry Exams (SIE, Series 7/top off, Series 24).
Compliance Analyst Characteristics:
- You have 2-4 years of broker-dealer compliance experience, preferably in a trading or market making environment.
- We give bonus points for prior experience with trade reporting, OATS, and consolidated audit trails.
- You shine brightly when working in a high energy and deadline environment.
- You pride yourself on your strong research and analytical skills, as well as your exceptional verbal and written communication.
- You are able to work independently.
- You’re a strong team player, self-motivated, and industrious. You invest in yourself.
- You’re a flexible but effective time manager, able to prioritize responsibilities and manage several simultaneous projects from inception to completion.
- The opportunity to join a small and growing team of good people, where you can make a difference.
- An environment that champions collaboration and prioritizes pragmatic solutions to complex problems.
- Work that is fast paced, intellectually challenging, and most of all, profoundly rewarding.
- Competitive compensation, benefits, and perks.