Trade Compliance Analyst

4 months ago


new york city, United States East End Resources Full time

EXPERIENCED COMPLIANCE ANALYST New York, NY

5 Days onsite in Downtown Manhattan


The Role

Our client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team.

  • The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.
  • Tasks will primarily include surveillance and monitoring of firm trading activity, documenting and updating policies, managing regulatory reporting, examinations and communications, training and inducting staff, managing exchange memberships, actively advising on compliance matters, and monitoring regulatory developments and best practices.
  • The person will join a collaborative team that together operates the compliance function from start to finish, advising senior management and supervising outside counsel and consultants, but also rolling up sleeves and doing anything that arises, whether it’s routine, complex, or even unrelated to primary functions.


About You

  • The ideal candidate must have an impeccable professional background and at least 4 years of relevant experience at or with similarly-regulated trading businesses, such as SEC-registered dealers.
  • You must be a self-starter and have strong prioritization skills.
  • Organization, superior attention to detail, and ability to multitask are required.
  • Prior experience at a regulatory agency, experience with derivative markets, and a legal background are each a plus.


Range reflects annual base salary. Total compensation packages are comprised of base salary and a discretionary bonus.



  • New York, United States East End Resources Full time

    EXPERIENCED COMPLIANCE ANALYST New York, NY5 Days onsite in Downtown ManhattanThe RoleOur client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team. The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its...


  • New York, NY, United States Merit Personnel & Consulting Full time

    Trade Compliance Analyst in Newport Beach, CA This is an ideal opportunity for individuals interested in pursuing a career in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades on client portfolios, and the implementation of...


  • New York, New York, United States East End Resources Full time

    EXPERIENCED COMPLIANCE PROFESSIONALNew York, NY5 Days onsite in Downtown ManhattanThe RoleEast End Resources seeks a seasoned Compliance Analyst to join their legal and compliance team.The primary responsibilities of the team include establishing, implementing, and maintaining policies and procedures to ensure compliance with regulatory obligations.Tasks...


  • New York, New York, United States Brains Workgroup, Inc. Full time

    About the Role:We are looking for a talented Commodities Trading Analyst to support our trading desk. The successful candidate will work closely with traders to identify and resolve booking errors and technology issues pertaining to trade bookings and subsequent front-to-back flows.They will have a thorough understanding of market data conventions and be...


  • New York, New York, United States Hire Point Recruiting Full time

    Required Skills and QualificationsBachelor's degree in International Business, Trade, or a related field. Master's degree or certification in trade compliance is preferred.Minimum of 5 years of experience as a Trade Specialist or in a similar role, with a strong background in international trade and customs compliance.Profound knowledge of international...


  • New York, New York, United States SysMind Tech Full time

    Job Title: Senior Trade Life Cycle AnalystDescription:SysMind Tech is seeking an experienced Trade Life Cycle Analyst to join their team. As a Trade Life Cycle Analyst, you will be responsible for analyzing trade data and identifying trends to improve business processes.About the Role:The ideal candidate will have 8+ years of experience in Business Analysis...


  • New York, New York, United States Abode Techzone LLC Full time

    Job Title: Senior SAP Global Trade Services Business Systems AnalystJob Summary:Abode Techzone LLC is seeking a highly skilled Senior SAP Global Trade Services Business Systems Analyst to join our team. As a key member of our Information Technology group, you will be responsible for providing expert-level support for our Global Trade Programs organization...


  • New York, New York, United States Diverse Lynx Full time

    Job Summary:We are seeking an experienced Business Analyst to join our team. As a Business Analyst, you will be responsible for planning, coordinating, and ensuring delivery of defined dev team deliverables. You will work closely with our Dev Team, Business Users, and other Development Teams to deliver high-quality solutions.Key Responsibilities:Plan,...

  • Trade Support Analyst

    4 weeks ago


    New York, United States Jobs for Humanity Full time

    Company Description Jobs for Humanity is collaborating with YUPRO Placement to build an inclusive and just employment ecosystem. We support individuals coming from all walks of life. Company Name: YUPRO Placement Job DescriptionTrade Support Analyst This is a contract opportunity. This is a Hybrid role located in New York, NY. (3 days in-office) About this...


  • New York, New York, United States Abode Techzone LLC Full time

    Job Title:Global Trade Services Business Systems AnalystIn this role, you will be responsible for supporting our Global Trade Programs organization and the related software that enables Trade Compliance and Reporting. You will work closely with our team to formulate and define systems scope and objectives through research and fact-finding combined with a...


  • Jersey City, New Jersey, United States Axelon Services Corporation Full time

    Axelon Services Corporation is seeking a Trade Finance Analyst - Risk Management to join our team. As a Trade Finance Analyst - Risk Management, you will be responsible for identifying and mitigating risks associated with trade finance transactions.Key ResponsibilitiesIdentify and mitigate risks associated with trade finance transactions.Review transactions...


  • New York, New York, United States Laufer Group International Full time

    Key ResponsibilitiesAs a Trade Compliance Expert at Laufer Group International, you will play a critical role in ensuring the smooth importation of goods into the US. You will be responsible for managing customs entries for Laufer routed clients, accurately and timely filing import security filings, and corresponding with clients regarding ISF documents,...


  • New York, New York, United States CEF Solutions Inc Full time

    Job Title: Stock Trade Operations Analyst - Securities ProfessionalWe are seeking a highly skilled and experienced Stock Trade Operations Analyst to join our team at CEF Solutions Inc. in New York City.About Us:CEF Solutions Inc. is a leading provider of consulting services and business process outsourcing (BPO) solutions, specializing in operations...


  • New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    We are seeking an experienced professional to join our Fixed Income Trading Support team as a Fixed Income Trading Support Analyst.In this role, you will provide operational support for the debt syndicate desk in executing primary market offerings of fixed income securities. This includes creating new offerings in various front office systems, identifying...


  • new york city, United States Cardea Group Full time

    Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...


  • New York, New York, United States TP ICAP Full time

    Job OverviewThe TP ICAP Group is a world-leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data through responsible and innovative solutions.We connect clients to superior liquidity and data solutions through our...


  • New York, New York, United States eFinancialCareers Full time

    Job OverviewWe are seeking a highly skilled Advanced Quantitative Analyst to join our team in Options Trading. The successful candidate will be responsible for developing and refining models for margin measurement, pricing, and risk across a broad range of derivatives.


  • New York, New York, United States Selby Jennings Full time

    We are collaborating with a leading HFT proprietary trading firm, seeking a skilled Market Structure Analyst to join their team. This role involves expertise in market microstructure, particularly focused on CME (and ideally ICE/Eurex) exchanges.Key responsibilities include developing and implementing alpha strategies that capitalize on market inefficiencies...


  • Jersey City, New Jersey, United States Jobs for Humanity Full time

    About Us">Jobs for Humanity is a leading technology firm that powers the global economy. Our innovative teams drive success in Sales, Software, Data, Business, and Staffing.">Your Role">We are seeking an experienced Trade Compliance Specialist to join our team. This full-time position requires a Bachelor's Degree and relevant work experience.">Job...


  • New York, United States Robert Half Full time

    Job DescriptionJob DescriptionRobert Half is offering a long-term contract employment opportunity for a Trade Support Analyst Intermediate (3-6 years) in Brooklyn, New York. The role involves supporting the trading process in a high-volume environment, acting as a liaison between dealers and settlement teams, and managing trade confirmations and...