Compliance Analyst in Chicago, IL at TradeStation

Date Posted: 6/24/2020

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    Chicago, IL
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    6/24/2020

Job Description

Compliance Analyst
Chicago, IL
TradeStation is an on-line 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.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
We are currently seeking a Compliance Analyst who will be primarily responsible for helping facilitate and support the current and future continuous supervisory control monitoring program and to assist Compliance management in the day-to-day compliance efforts and special projects related to regulatory, legal policies, procedures and practices.
ESSENTIAL JOB FUNCTIONS:
  • Review and analyze internal and external reports for exceptions and use professional judgment to coordinate with responsible parties to ensure compliance with applicable laws and regulations
  • Develop and execute comprehensive issue and risk-based tests through high volume data analysis to validate execution of control activity remediation actions
  • Conduct compliance reviews as scheduled or directed by the Chief Compliance Officer
  • Execute control reporting to monitor for potential breaks
  • Negotiate solutions and act as a liaison with internal and external clients
  • Develop comprehensive methods for gathering critical control testing evidence to evaluate risk more effectively
  • Maintain certain records to meet compliance requirements
KNOWLEDGE, SKILLS & ABILITIES
  • Basic knowledge of FINRA, NYSE, CFTC, NFA and SEC rules and regulations
  • Solid writing and analytical skills with the ability to complete projects in a fast-paced work environment
  • Intermediate to advanced SQL querying and database experience
  • Experience with Audit Command language (ACL) highly desired
  • Proficient in BI reporting using PowerBI
EDUCATION & EXPERIENCE:
  • Bachelor’s Degree from a four-year college/university or equivalent work experience
  • 3-or more years of related experience