The Compliance Analyst ensures regulatory compliance for trading US financial products, monitors trading activities, and manages compliance onboarding procedures.
The Compliance Analyst role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC's US operations. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.
Your Core Responsibilities:
Your Skills and Experience:
Please note that immigration sponsorship is not offered for this specific opening.
Your Core Responsibilities:
- Partner with the Compliance Team to drive IMC's regulatory vision and compliance efforts
- Promote the Firm's Compliance culture, awareness of regulatory developments, and best practices
- Monitor trading activity using the Firm's in-house surveillance systems
- Provide operational support for key external Compliance data reporting platforms (e.g. Consolidated Audit Trail, MiFID Transaction Reporting, Futures Audit Trail, and TRACE)
- Investigate regulatory reporting exceptions, identifying root causes, and driving the necessary corrective actions
- Implement Compliance onboarding and offboarding procedures, including the Registered Rep registration process (e.g. Forms U4 and U5, fingerprints, and address changes)
- Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis
- Conduct reviews of employee personal trading, including new account set up, pre-clearance requests, exception review, and FINRA 3210 letters
- Maintain detailed, accurate, and organized documentation of execution of the Firm's processes and procedures
Your Skills and Experience:
- 1 to 5 years of experience working for a proprietary trading firm, exchange, regulatory organization, broker dealer, futures commission merchant, or similar organization
- A Bachelor's degree
- FINRA Series License SIE and 57 will be required within 1 year of employment
- Knowledge of basic financial industry business knowledge and interest in the U.S. regulatory environment for trading firms
- Demonstrated ability with meeting business requirements for regulatory requests, audits, examinations, and investigations
- Experience with the use of third-party vendors to monitor employee personal trading
- Proficient in use of surveillance tools to monitor trading activity
- Strong interpersonal, organizational, problem-solving, and time-management skills
- Ability to convey complex ideas or concepts clearly
- Strong attention to detail; eager to learn, ask questions, and admit mistakes
- Proactive and reliable, with the ability to work independently as well as with others in a small team
Please note that immigration sponsorship is not offered for this specific opening.
Top Skills
Compliance Data Reporting Platforms
Surveillance Tools
Trading Systems
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