Compliance Analyst, Trade Reporting in Plantation, FL at TradeStation

Date Posted: 12/5/2021

Job Snapshot

Job Description

Compliance Analyst, Trade Reporting
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.
As a Compliance Analyst - Trade Reporting you will provide oversight and conduct special analyses and/or studies in regards to 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. 
ESSENTIAL JOB FUNCTIONS:
  • 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 in order to discover gaps and align the documents
  • Responsible for being aware of and understanding the approved Business Strategies and plans
KNOWLEDGE, SKILLS & ABILITIES
  • 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
EDUCATION & EXPERIENCE
  • Bachelor’s college degree preferred and 3-5+ years of compliance experience required
  • Requires series 7, 65, 3, 24 and 30 preferred.