Compliance Analyst
HAP Capital
Position Compliance Analyst
Industry: Financial Services
Employment type: Full Time
Experience: 2 to 8 year
Qualification: Bachelor’s Degree or higher
Company: HAP Capital
Location: New York, United States
Description
Compliance Analyst
Role Description
We are currently seeking a Compliance Analyst to join our team. This is an exceptional opportunity to join a highly successful firm in a role that will provide the opportunity to learn and showcase your skillset.
The ideal candidate will have a strong interest in compliance functionalities and have a deep understanding of the trading business. As a Compliance Analyst you will…
Work directly with the Compliance Manager, focusing on a small subset of tasks; later growing into a complete array of compliance responsibilities Administer to all Reg SHO Fail to deliver positions, Buy-Ins, Threshold Security List activity
Administer to both Exchange issued and Proprietary Market Maker / Trading Exception Reports i.e. Market Maker Quoting Exceptions, Security Locate Requirements, Position Limits, Hedge Reports, Spoofing & Layering, Capping & Pegging, etc
Complete compliance reviews of employee communications and personal brokerage statements
Requirements
- Bachelor’s Degree or higher
- Minimum of 2-8 years industry experience: trading or regulatory
- Ability to prioritize in a fast moving, high pressure constantly changing environment, high sense of urgency
- Knowledge of the Equity, Equity Options and Futures trading spaces
- Advanced proficiency of Microsoft Office Applications
- Strong communication & organizational Skills
- Additional Skills/experience That Will Reflect Favorably
- Experience working within a trading firm
- FINRA SIE, Series 7 and Series 57 Certifications are a plus
- Advanced Microsoft Excel experience, i.e. VBA and Macros
To apply for this job please visit boards.greenhouse.io.
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