Sr. Compliance Analyst - Trade Surveillance

---

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:
The Trade Surveillance team provides manages the oversight of specific rules required by the SEC, FINRA, CFTC and trading exchanges. This position is required to analyze, define, document, and translate transactional records, client trading patterns and activities to ensure compliance with all rules. This position requires a high capacity to work efficiently with other team members to accurately understand the trade flows and the life cycles of transactions with an attention to detail to identify potentially risky trading practices (i.e. wash sales, off market transactions, front running, options fraud). Responsibilities include using professional judgment and industry experience to assist compliance management in the day-to-day compliance efforts and special projects related to regulatory, legal policies, procedures, and practices.

What You'll Be Doing:

• Manage and analyze the internal and external reports for exceptions and use professional judgment to coordinate with responsible parties to ensure compliance with applicable laws and regulations
• Act as subject matter expert in the performance of market surveillance across a range of financial products
• Leverage large data sets and advanced analytical skills to enhance research and investigations, ensuring both quantitative and qualitative analyses are included in decision making
• Manage the records and supporting documentation for all investigations
• Implement corrective action plans by coordinating with Fraud, operations, and other departments to perform research and implement corrective action plans
• Provide current regulatory information to management and applicable business units
• Respond to regulatory requests for information
• All duties assigned to you by the CCO or Compliance Directors

The Skills You Bring:

• Extensive experience in regulatory rules, trade surveillance, terminology, and systems
• Highly proficient in all Microsoft Office applications and Microsoft SharePoint
• Strong problem-solving skills with the ability to determine cause and devise solutions independently
• Solid writing and analytical skills with the ability to complete projects in a fast-paced work environment
• Critical thinker with root cause analysis skills

Minimum Qualifications:

• Bachelor's Degree from a four-year college/university or equivalent work experience
• 5+ years of related experience

Desired Qualifications:

• Series 3, 7, and 24 required or must be obtained within first 6 months

What We Offer:

• Collaborative work environment
• Competitive Pay
• Yearly bonus and generous 401k plan
• Comprehensive benefits for you and your family starting Day 1
• Unlimited Paid Time Off
• Flexible working environment
• TradeStation Account employee benefits, as well as full access to trading education materials
• Pay Range (US) $116K-134K. (Countries outside of the US have differing ranges in accordance with local labor markets)

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.

<!– job description page –>