Compliance Associate

<div><h3>Surveillance&Monitoring</h3><ul><li>Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.</li><li>Investigate alerts and elevate potential issues to senior compliance leadership.</li></ul><h3>Position Limit Oversight</h3><ul><li>Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.</li><li>Engage with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.</li></ul><h3>Compliance Testing&Controls</h3><ul><li>Conduct periodic testing to ensure the firm’s policies and procedures are followed, particularly around surveillance, trade reporting and position management.</li><li>Assist in the development and execution of the annual compliance testing plan.</li></ul><h3>Policy&Procedure Review</h3><ul><li>Maintain and update internal compliance policies in response to regulatory developments.</li><li>Assist with training staff on compliance policies and regulatory changes.</li></ul><h3>Regulatory Support</h3><ul><li>Support responses to regulatory inquiries and audits.</li><li>Prepare documentation and reports for internal and external stakeholders as needed.</li></ul><h3>Qualifications</h3><ul><li>Bachelor’s degree in Finance, Economics, Legal Studies or a related field.</li><li>3 years of experience in a compliance or trade surveillance role at a broker‑dealer, asset manager, or futures commission merchant (FCM).</li><li>Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA and international equivalents).</li><li>Familiarity with surveillance systems (e.g., SMARTS, Actimize, Eventus or similar platforms).</li><li>Experience with position limit frameworks and exchange rules across major global markets.</li></ul><h3>Additional Information</h3><ul><li>Experience with both futures and equities markets.</li><li>Working knowledge of algorithmic trading order types and market structure.</li><li>Previous involvement in regulatory exams or inquiries.</li><li>Proficiency in data analysis (Excel, SQL, Python a plus).</li><li>Strong written and verbal communication skills.</li></ul><h3>Remote Work</h3><p>Yes</p><h3>Employment Type</h3><p>Fulltime</p></div>#J-18808-Ljbffr