Compliance Analyst- EComms Surveillance/Registrations Manager

2 weeks ago

New York, United States Lime Trading Full time

Compliance Analyst- EComms Surveillance/Registrations Manager

Conduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes.

Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.

Track/monitor pending exams for employees required to be licensed.

Ability to navigate FINRA Gateway/Web CRD, NFA ORS, Electronic Filing System

Responsible for notifying registered representatives of their regulatory element continuing education requirement. Maintain log of registered representatives’ completion and send reminder notifications to reg. rep., supervisors and compliance officers when approaching deadline. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.

Notify all representatives registered as Associated Persons with the National Futures Association of their ethics training requirements.

Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue requirements.

Work closely with the Compliance team to identify registered employees who are required to satisfy Firm Element training requirements.

Regulatory Reporting/Filings:

Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due. Work closely with supervisors, business management, Ethics & Compliance, Legal and HR to gather required information/documents for filings with regulators.

Coordinate/submit FINRA 4530 filings; /FCM annual CCO reports

deep technical understanding of Licensing and Registration rules

compliance experience and strong risk management skills

broad knowledge of FINRA, NFA, State and other relevant regulatory bodies

experience with FINRA Form BD and NFA and required skills for filings and updates

expertise in FINRA Gateway, FINPRO applications

the ability to work well in a team as well as an individual contributor

Provide advice/guidance on registrations/licensing requirements, processes and procedures

Timely process Form U4, U5, Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.

Conduct email surveillance and assist with ad hoc tasks

Manage Compliance Office governance system.


Role Requirements:

Minimum of 3 years of compliance experience with a broker dealer/financial services firm in a similar role.

Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.

Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.

Strong organizational and project management skills and attention to detail.

Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.

Team player and ability to work collaboratively across the platform.

Ability to understand implications of new regulations and to apply regulations to varying “real world” situations.


Company information:

About Lime Trading Corp

Established in 2000, Lime’s founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy — so they created one.

Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms. As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.

  • Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA/SIPC/NFA. For more information, visit

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