Compliance Analyst – CAT Transaction System

• 1–2 years of experience as a Data Analyst/Data Scientist
• Reviewing regulatory data to identify root causes and necessary remediation for errors
• Using UNIX command tools to make corrections to records as needed
• Developing surveillance for regulatory reporting and operational data
• Automating the CAT Feedback system
• Following up with software developers and/or management on any errors or exceptions that arise
• Gathering facts to assist the firm in responding to examinations and formal inquiries
• Proposing improvements to, or additional controls over, regulatory reporting

Qualifications:

• Bachelor’s degree required, preferably in a quantitative or analytical field
• Experience in an analytical role, preferably in the financial industry
• Strong data analysis, investigatory, and problem-solving skills
• The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)
• Regulatory research and interpretation skills
• Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive
• Familiarity with, or the ability to learn, advanced Excel skills is required (e.g., pivot tables, macros)

Familiarity with the following is a plus:

• FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems
• FIX protocol

Technological orientation is required, with the following specific skills highly valued:

• UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred
• Programming skills in Python, Perl, or Go are highly desirable
• Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus

To be successful in this position, you will have the following:

• Self-motivated and able to handle tasks with minimal supervision
• Superb analytical and problem-solving skills
• Excellent collaboration and communication (verbal and written) skills
• Outstanding organizational and time management skills

Company Benefits & Perks

• Competitive salary, annual performance-based bonus, and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid healthcare premium
• Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks
• Corporate events, including team outings, dinners, volunteer activities, and company sports teams
• Education reimbursement and learning opportunities