The Trading Compliance Analyst monitors trading activities, ensures adherence to regulatory compliance, manages documentation, investigates issues, and conducts education programs on compliance.
Jump Trading Group is committed to world class research. We empower exceptional talents in Mathematics, Physics, and Computer Science to seek scientific boundaries, push through them, and apply cutting edge research to global financial markets. Our culture is unique. Constant innovation requires fearlessness, creativity, intellectual honesty, and a relentless competitive streak. We believe in winning together and unlocking unique individual talent by incenting collaboration and mutual respect. At Jump, research outcomes drive more than superior risk adjusted returns. We design, develop, and deploy technologies that change our world, fund start-ups across industries, and partner with leading global research organizations and universities to solve problems.
This role is for a compliance "generalist" to support the Company in all aspects of compliance. This person will wear multiple hats within the organization to promote compliance with a variety of regulatory requirements that impact the company and its operations.
What You'll Do:
- Monitor trading activity using real time alerts and various reports to examine trading activity, order marking, trade reporting and trading volumes. Develop and assist others in the development of surveillance reports. Analyze data and compile data into meaningful summaries, update log files and identify trends in a timely manner; making findings available for the team
- Assist in Equity Capital Markets team and Control Function coverage
- Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department's needs that allow the Firm to quickly respond to any inquiry or audit
- Investigate potential compliance issues with traders, IT or operational staff as necessary and document findings
- Maintain and review policies, procedures, and practices to ensure compliance with laws, regulations, and industry best practices. Recommend changes to existing policies and procedures as necessary in response to business and regulatory changes or ideas to improve efficiency
- Manage trader registration process for the firm and individuals as appropriate. Ensure employees are appropriately licensed and complete necessary continuing education requirements
- Prepare and deliver educational programs such as new hire orientation, annual compliance meeting and trader orientations. Continually evaluate educational programs and make improvements as necessary
- Monitor proposed regulation, comment letters and enforcement actions to communicate the potential impact to the Firm
- Assist with communications with exchanges, regulators and brokers to maintain strong business relationships, support and maintain AML program coverage
- Other duties as assigned by manager
Skills You’ll Need:
- Strong interpersonal, organizational, and time management skills
- 4-5 years of professional experience, with 2-3 years in the financial industry
- Familiarity with equity/derivatives market microstructure and common abuse patterns
- Excellent verbal and written communication skills in English; Mandarin proficiency is a plus
- Strong ability to work with users in a multi-cultural environment
- Strong collaboration skills, good attitude, ability to interact comfortably with all roles in a project team.
- Ability to work in a fast-paced environment and handle multiple tasks and deadlines with strong attention to detail
- Bachelors degree or equivalent
Top Skills
Compliance Technology
Computer Science
Mathematics
Physics
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