Trade Compliance Analyst

Responsibilities: • Collaborate with the US Compliance Officer to develop and maintain the Compliance framework for the US Broker-Dealer entity, ensuring it aligns with the global Compliance framework. • Review the Compliance Monitoring Plan and existing controls to assess their effectiveness, report findings, and provide recommendations for improvement... • Evaluate impending or proposed legislation to determine its impact on the firm, working with the team to implement necessary changes. • Assist in responding to inquiries from regulators and trading venues. • Review alerts generated by monitoring systems and suggest changes to reports as necessary. • Prepare and submit regulatory filings for the US businesses as required. • Provide regulatory advice to the business, especially as part of the global Compliance team. Requirements: • 1-3 years of trading compliance experience dealing with regulators/trading venues, preferably within a registered Broker-Dealer. • Bachelor's degree. • Knowledge of US regulations and their application to Broker-Dealers • Understanding of market making, derivatives, equity security trading cycles, and market structure is a plus. • Understanding of risk controls, monitoring, and their application as part of the compliance program. • Experience in creating, developing, and implementing compliance policies and procedures for new initiatives. • Ability to interpret and summarize legislative texts. • Effective communicator, able to articulate issues to all levels of the organization. • Ability to work independently with the judgment to escalate issues when necessary. • Strong organizational skills with the ability to manage multiple projects and competing deadlines