Sr. Compliance Analyst, Trade Reporting
Trade Station Group, Inc., New York, New York, United States
TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators.
At TradeStation, we are building an AI-First culture. We expect team members to embrace AI as a core part of their daily workflow, whether that's using AI to accelerate development, enhance decision‑making, improve client outcomes, or streamline internal processes. We hire, grow, and promote people who can harness AI responsibly and creatively. We treat AI as a partner in problem‑solving, not just a tool; following our governance standards to ensure AI is used ethically, securely, and transparently. If you join us, you're joining a culture where AI is how we work.
Are you ready to make yourself at home?
What We Are Looking For: We are looking for a Senior Compliance Analyst for Trade Reporting who will provide oversight and conduct special analyses and/or studies regarding trading, settlement and/or the trade reporting process. This role will primarily work with members of the operations staff, legal, relationship management, IT, brokers, custodians, portfolio manager, and traders to handle routine and intermediate transactions as well resolve issues.
What You'll Be Doing:
Day to Day oversight of regulatory reporting, systems, errors, and timely submission
Support the roadmap for regulatory change and controls as assigned
Provide oversight to ensure compliance with multiple exchange memberships
Support the Brokerage Operations team in complying with all Federal, State and SRO rules for trading, trade reporting and necessary oversight for the daily activities
Collaborate in the establishment of benchmarks and best practices to be utilized to support compliance and risk management
Participate in the tactical development of process and procedures to ensure compliance is part of the system and updates compliance procedures and testing as needed
Collaborate with other departments to ensure effective compliance controls are implemented in software development and vendor managementActs as an independent review and evaluation to ensure that compliance issues and concerns within the operations are being appropriately evaluated, investigated, and resolved
Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
Work with cross functional executives in technology, Risk Management, and Internal Audit to align on strategy and ensure proper key control oversight
Participate in the quality assurance and quality system requirements for IT to meet all Securities and Financial Regulations
Assess existing IT integrations, data quality and standards to discover gaps and align the documents
Responsible for being aware of and understanding the approved Business Strategies and plans
The Skills You Bring:
Understanding of FINRA, SEC, NFA, CFTC and other regulatory requirements around trading activities and position reporting
Knowledge of CAT, OATS, CFTC OCR, Reg NMS, LOPR, Rule 606, SEC Rule 15c3-5, TRACE and MSRB trade reporting
Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
Excellent business judgment and problem‑solving skills
A self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments
Manage complex tasks simultaneously in a deadline-intensive environment
Highly organized, detail‑oriented, and energetic individual
Must have a high level of integrity
Minimum Qualifications:
3-5+ years of compliance experience
Desired Qualifications:
Bachelor's college degree
FINRA series 24 and NFA Series 3 preferred
TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.
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At TradeStation, we are building an AI-First culture. We expect team members to embrace AI as a core part of their daily workflow, whether that's using AI to accelerate development, enhance decision‑making, improve client outcomes, or streamline internal processes. We hire, grow, and promote people who can harness AI responsibly and creatively. We treat AI as a partner in problem‑solving, not just a tool; following our governance standards to ensure AI is used ethically, securely, and transparently. If you join us, you're joining a culture where AI is how we work.
Are you ready to make yourself at home?
What We Are Looking For: We are looking for a Senior Compliance Analyst for Trade Reporting who will provide oversight and conduct special analyses and/or studies regarding trading, settlement and/or the trade reporting process. This role will primarily work with members of the operations staff, legal, relationship management, IT, brokers, custodians, portfolio manager, and traders to handle routine and intermediate transactions as well resolve issues.
What You'll Be Doing:
Day to Day oversight of regulatory reporting, systems, errors, and timely submission
Support the roadmap for regulatory change and controls as assigned
Provide oversight to ensure compliance with multiple exchange memberships
Support the Brokerage Operations team in complying with all Federal, State and SRO rules for trading, trade reporting and necessary oversight for the daily activities
Collaborate in the establishment of benchmarks and best practices to be utilized to support compliance and risk management
Participate in the tactical development of process and procedures to ensure compliance is part of the system and updates compliance procedures and testing as needed
Collaborate with other departments to ensure effective compliance controls are implemented in software development and vendor managementActs as an independent review and evaluation to ensure that compliance issues and concerns within the operations are being appropriately evaluated, investigated, and resolved
Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
Work with cross functional executives in technology, Risk Management, and Internal Audit to align on strategy and ensure proper key control oversight
Participate in the quality assurance and quality system requirements for IT to meet all Securities and Financial Regulations
Assess existing IT integrations, data quality and standards to discover gaps and align the documents
Responsible for being aware of and understanding the approved Business Strategies and plans
The Skills You Bring:
Understanding of FINRA, SEC, NFA, CFTC and other regulatory requirements around trading activities and position reporting
Knowledge of CAT, OATS, CFTC OCR, Reg NMS, LOPR, Rule 606, SEC Rule 15c3-5, TRACE and MSRB trade reporting
Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
Excellent business judgment and problem‑solving skills
A self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments
Manage complex tasks simultaneously in a deadline-intensive environment
Highly organized, detail‑oriented, and energetic individual
Must have a high level of integrity
Minimum Qualifications:
3-5+ years of compliance experience
Desired Qualifications:
Bachelor's college degree
FINRA series 24 and NFA Series 3 preferred
TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.
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