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


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


  • 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

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