Compliance Analyst - Supervisory Controls in Plantation, FL at TradeStation

Date Posted: 6/7/2022

Job Snapshot

Job Description

Compliance Analyst - Supervisory Controls
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
TSS Compliance is seeking a highly motivated individual to assist and support the Sr. Director of Compliance in the development and implementation of effective supervisory control systems for the firm.  You will assist with the development and ongoing maintenance of the firm’s written supervisory procedures to ensure compliance with the applicable rules and regulations.  You will actively monitor, advice, and track all relevant regulatory changes that impact the firm’s business.  You will assist in the ongoing testing of the firm’s supervisory procedures and work with the appropriate business unit to ensure any corrective actions are adequately addressed.      
ESSENTIAL JOB FUNCTIONS
  • Assist in the drafting of policies and procedures to ensure compliance with the applicable rules and regulations
  • General knowledge of FINRA, CFTC, NFA rules and regulations
  • Monitor and track regulatory changes
  • Assist with the firm’s 3120 testing program
  • 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
KNOWLEDGE, SKILLS & ABILITIES
  • 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
EDUCATION & EXPERIENCE
  • Undergraduate college degree required
  • 5 years of related work experience
  • Series 7, 3, 65 and 24 registrations required (within 120 days)
  • Proficiency in Microsoft Office including Outlook, Word, Excel, and PowerPoint