Senior Regulatory Compliance Analyst
About the position
As a Senior Regulatory Compliance Analyst reporting to the AVP ā Regulatory Compliance , you'll play a critical role in monitoring market activity, ensuring regulatory compliance, and maintaining fair and orderly markets for investors, participants, and listed companies. Y ou'll thrive in this position if you're detail-oriented, analytical, and passionate about financial regulation and market integrity in a fast-paced, high-impact environment .
Responsibilities
ā¢ Monitor real-time trading activity across securities markets to identify anomalies and ensure compliance with trading rules.
ā¢ Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate .
ā¢ Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.
ā¢ Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.
ā¢ Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.
Requirements
ā¢ Bachelor's degree in Business , Finance, or related field, or equivalent practical experience.
ā¢ 1ā3 years of experience in regulatory compliance, market surveillance, or financial services.
ā¢ Strong analytical and research skills with the ability to synthesize information from multiple sources.
ā¢ Clear communicator with experience working in collaborative, time-sensitive environments.
ā¢ Proficiency in tools such as Excel and experience navigating regulatory databases and newswires.
Nice-to-haves
ā¢ Experience in capital markets, securities regulation, or exchange operations.
ā¢ Familiarity with FINRA, SEC, or other regulatory frameworks.
ā¢ Exposure to real-time market surveillance systems and trading technologies.
Benefits
ā¢ 401(k) program with 6% employer match
ā¢ Employee Stock Purchase Program with 15% discount
ā¢ Student loan repayment program up to $10k
ā¢ Company paid life and disability plans
ā¢ Generous paid time off
ā¢ Comprehensive medical, dental and vision coverage
ā¢ Health spending account with employer contribution
ā¢ Paid flex days to support mental wellbeing
ā¢ Gym membership discounts
ā¢ Hybrid home/office schedule (for most positions)
ā¢ Paid parental leave
ā¢ Fertility benefits
ā¢ Paid bereavement leave
ā¢ Company gift matching program
ā¢ Employee resource groups
ā¢ Paid volunteer days
ā¢ Education Assistance Program
ā¢ Robust job skills training and Professional development opportunities
Apply tot his job
Apply To this Job
As a Senior Regulatory Compliance Analyst reporting to the AVP ā Regulatory Compliance , you'll play a critical role in monitoring market activity, ensuring regulatory compliance, and maintaining fair and orderly markets for investors, participants, and listed companies. Y ou'll thrive in this position if you're detail-oriented, analytical, and passionate about financial regulation and market integrity in a fast-paced, high-impact environment .
Responsibilities
ā¢ Monitor real-time trading activity across securities markets to identify anomalies and ensure compliance with trading rules.
ā¢ Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate .
ā¢ Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.
ā¢ Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.
ā¢ Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.
Requirements
ā¢ Bachelor's degree in Business , Finance, or related field, or equivalent practical experience.
ā¢ 1ā3 years of experience in regulatory compliance, market surveillance, or financial services.
ā¢ Strong analytical and research skills with the ability to synthesize information from multiple sources.
ā¢ Clear communicator with experience working in collaborative, time-sensitive environments.
ā¢ Proficiency in tools such as Excel and experience navigating regulatory databases and newswires.
Nice-to-haves
ā¢ Experience in capital markets, securities regulation, or exchange operations.
ā¢ Familiarity with FINRA, SEC, or other regulatory frameworks.
ā¢ Exposure to real-time market surveillance systems and trading technologies.
Benefits
ā¢ 401(k) program with 6% employer match
ā¢ Employee Stock Purchase Program with 15% discount
ā¢ Student loan repayment program up to $10k
ā¢ Company paid life and disability plans
ā¢ Generous paid time off
ā¢ Comprehensive medical, dental and vision coverage
ā¢ Health spending account with employer contribution
ā¢ Paid flex days to support mental wellbeing
ā¢ Gym membership discounts
ā¢ Hybrid home/office schedule (for most positions)
ā¢ Paid parental leave
ā¢ Fertility benefits
ā¢ Paid bereavement leave
ā¢ Company gift matching program
ā¢ Employee resource groups
ā¢ Paid volunteer days
ā¢ Education Assistance Program
ā¢ Robust job skills training and Professional development opportunities
Apply tot his job
Apply To this Job