Compliance Analyst - Regulatory Coordinator in Plantation, FL at TradeStation

Date Posted: 1/8/2022

Job Snapshot

Job Description

Compliance Analyst - Regulatory Coordinator
Plantation, FL or Chicago, IL
At TradeStation, we believe in empowering our customers to claim their individual financial edge. We are committed to creating a financial ecosystem that is a step ahead by delivering the best technology, services, education, and support to traders and investors. We are continuously pushing the boundaries of what is possible, encouraging out-of-the-box thinking and a relentless search for innovation.
We are a team of amazing people who work together in a high-performance, goal-oriented culture to provide our customers with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits, and an unlimited PTO policy.
POSITION SUMMARY:
The Compliance Analyst will support the Director of Compliance who acts as the primary regulatory contact for SRO and exchange audits and regulatory reviews.  This position will provide the day to day operations of responding to SRO and regulator requests, examinations, annual filings and investigations requests. The candidate will have hands-on knowledge and ability concerning advanced compliance and risk-management requirements relating to all lines of business, creation, and follow-through of appropriate supervisory structure, WSPs, and operational processes as they demonstrate compliance will laws and regulations.
ESSENTIAL JOB FUNCTIONS
  • Responsible to conduct research and compile responses for the organization’s overall compliance in accordance with applicable laws and regulations, and the business policies and procedures
  • Assist with complex regulatory matters which may require collaboration with internal departments, validation of data and high attention to details to demonstrate compliance with all laws and regulations
  • Work across multiple asset classes and collaboratively with the Compliance department
  • Appropriately assess risk with regulatory change management and escalate to business leaders
  • Manage projects to implement processes and ensure compliance with all rules and regulations
  • Build, develop, and maintain relationships with business partners and our regulators 
  • Develop a deep understanding and working knowledge of systems, transaction flows and data used in the business
  • Ability to work both independently and collaboratively
  • Aptitude to identify potential regulatory compliance issues or deviations from internal policies and procedures
  • Ability to work with a sense of urgency and diligence
  • Must exhibit the highest standards of integrity and maintain confidentiality
  • Ability to assess ambiguity with a calm demeanor and confidence
KNOWLEDGE, SKILLS & ABILITIES
  • Significant experience with federal securities and commodities regulations along with industry rules, interpretations and best practices
  • Familiarity with Governance Risk and Compliance (GRC) software to manage risk and control documentation
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Excellent research and analytical skills in addition to a technical aptitude
  • Excellent written and verbal communication skills
EDUCATION & EXPERIENCE
  • Bachelor’s Degree from a four-year college/university or equivalent work experience
  • 4-6 years of experience in a Compliance department or experience with a federal regulator or SRO
  • Series 7, 3, 24 required or must be obtained in the first 90 days
  • Data mining, data analytics or experience in Power BI preferred