Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey, Minnesota, Missouri, Nebraska, North Carolina, South Carolina, Tennessee or Virginia

Who We Are:

TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators.

At TradeStation, we are building an AI-First culture. We expect team members to embrace AI as a core part of their daily workflow, whether that’s using AI to accelerate development, enhance decision-making, improve client outcomes, or streamline internal processes. We hire, grow, and promote people who can harness AI responsibly and creatively. We treat AI as a partner in problem-solving, not just a tool; following our governance standards to ensure AI is used ethically, securely, and transparently. If you join us, you’re joining a culture where AI is how we work.

Are you ready to make yourself at home?

What We Are Looking For:

We are looking for a Senior Compliance Analyst for Trade Reporting who will provide oversight and conduct special analyses and/or studies regarding trading, settlement and/or the trade reporting process.This role will primarily work with members of the operations staff, legal, relationship management, IT, brokers, custodians, portfolio manager, and traders to handle routine and intermediate transactions as well resolve issues. 

What You’ll Be Doing:

• 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

The Skills You Bring:

• 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

Minimum Qualifications:

• 3-5+ years of compliance experience
• FINRA series 7

Desired Qualifications:

• Bachelor’s college degree
• FINRA series 24 and NFA Series 3 preferred

What We Offer:

• 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
• Pay Range (US) $105-118K (Countries outside of the US have differing ranges in accordance with local labor markets)

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.

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