TradeStation · 1 day ago
Sr. Compliance Analyst, Trade Reporting
United States
Full-time
Remote
Mid, Senior Level
$105K/yr - $118K/yr
3+ years expTradeStation is an online brokerage firm focused on delivering the ultimate trading experience for active traders and institutions. The Senior Compliance Analyst for Trade Reporting will oversee regulatory reporting and compliance processes, collaborating with various departments to ensure adherence to federal and state regulations.
Financial Services
Responsibilities
Day to Day oversight of regulatory reporting, systems, errors, and timely submission
Support the roadmap for regulatory change and controls as assigned
Provide oversight to ensure compliance with multiple exchange memberships
Support the Brokerage Operations team in complying with all Federal, State and SRO rules for trading, trade reporting and necessary oversight for the daily activities
Collaborate in the establishment of benchmarks and best practices to be utilized to support compliance and risk management
Participate in the tactical development of process and procedures to ensure compliance is part of the system and updates compliance procedures and testing as needed
Collaborate with other departments to ensure effective compliance controls are implemented in software development and vendor management
Acts as an independent review and evaluation to ensure that compliance issues and concerns within the operations are being appropriately evaluated, investigated, and resolved
Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
Work with cross functional executives in technology, Risk Management, and Internal Audit to align on strategy and ensure proper key control oversight
Participate in the quality assurance and quality system requirements for IT to meet all Securities and Financial Regulations
Assess existing IT integrations, data quality and standards to discover gaps and align the documents
Responsible for being aware of and understanding the approved Business Strategies and plans
Qualification
Required
3-5+ years of compliance experience
FINRA series 7
Understanding of FINRA, SEC, NFA, CFTC and other regulatory requirements around trading activities and position reporting
Knowledge of CAT, OATS, CFTC OCR, Reg NMS, LOPR, Rule 606, SEC Rule 15c3-5, TRACE and MSRB trade reporting
Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
Excellent business judgment and problem-solving skills
A self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments
Manage complex tasks simultaneously in a deadline-intensive environment
Highly organized, detail-oriented, and energetic individual
Must have a high level of integrity
Preferred
Bachelor's college degree
FINRA series 24 and NFA Series 3 preferred
Benefits
Collaborative work environment
Competitive salaries
Yearly bonus
Comprehensive benefits for you and your family starting day one
Unlimited paid time off
Flexible working environment
TradeStation brokerage account employee benefits, as well as full access to trading education materials
Company
TradeStation
Welcome to the home of those who were born to trade! We empower natural-born traders to hone their strategies with an advanced platform & brokerage services.
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
John Bartleman
Chief Executive Officer, TradeStation Crypto, Inc.
Michael Fisch
Chief Technology Officer
Company data provided by crunchbase