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Compliance Analyst Sr - Communications and Registrations in Plantation, FL at TradeStation

Date Posted: 11/20/2022

Job Snapshot

Job Description


Who We Are:
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation. 

What We Are Looking For:
TSS Compliance is seeking a highly motivated individual to assist and support the Director Compliance in the implementation of effective operational controls supporting the compliance program for communications, advertising and registrations of the Firm.   You will be responsible for coordinating the compliance strategy for supervisory oversight of external communications, company and employee registrations, understanding FINRA, CFTC, NFA and other governing rules, and providing day to day monitoring of compliance policies and procedures throughout the organization.   You will work closely with other lines of business, and functional groups.   You will also work closely within the compliance department to liaison between trade surveillance, legal and trade reporting.

What You’ll Be Doing:
  • Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
  • Perform ongoing monitoring of business partner activities to ensure consistency with regulatory requirements and applicable firm policies and procedures
  • Assist in the drafting of policies and procedures related to marketing and advertising and registrations
  • Register employees using the FINRA Gateway, and be familiar with FINRA Rules 1210, 1220 and 1240
  • General knowledge of FINRA, CFTC, NFA rules for communications and registrations
  • Maintain documentation, tracking and evidence of reviews completed according to established protocol
  • Collaborate with business partners to resolve compliance issues
  • Provide strong compliance support and execution with respect to all ad-hoc projects
  • Additional tasks and duties as assigned
The Skills You Bring:
  • Understanding of the regulatory environment with respect to broker/dealers, including FINRA Rule 2210, NFA Rule 2-29, FINRA and CFTC Registration rules
  • Ability to understand, interpret and communicate rules and regulations
  • Understanding of various asset classes including equities, options, futures and cryptocurrency
  • Strong communication and interpersonal skills
  • Ability to work with colleagues to devise pragmatic and creative solutions
  • 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
  • Strong abilities in analytical thinking, problem solving, research, and time management
  • Calm demeanor, tolerance for ambiguity, and confidence
Minimum Qualifications:
  • Undergraduate college degree required
  • 5 years of related work experience
  • Series 7, 3, and 24 registrations required
  • Proficiency in Microsoft Office including Outlook, Word, Excel, and PowerPoint
  • Working knowledge of systems used for electronic message reviews is preferred (Global Relay, Smarsh, or High Bond)
Desired Qualifications:
  • Series 4, 14
What We Offer:
  • Collaborative work environment
  • Competitive Salaries
  • Yearly bonus
  • Generous 401k plan
  • Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan!
  • Unlimited Paid Time Off
  • Flexible working environment
  • TradeStation Account employee benefits, as well as full access to trading education materials

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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