Junior Compliance Analyst

Akuna Capital • Chicago, IL

8d • $75,000

About The Position

Akuna is looking for a Junior Compliance Analyst to join its team. This person will assist and support the Compliance team in ensuring Akuna meets its regulatory obligations. Well qualified candidates will have a general understanding of options and futures products, equities, and cryptocurrency, possess strong analytical skills, have a strong attention to detail, and willingness to engage and effectively communicate with the Trading team. In this role, you will:

Requirements

• 1-3 years of relevant work experience
• Knowledge of trading markets, various asset classes and products
• Ability to apply rule-based analysis to trading activity
• Able to work on multiple projects and assignments at the same time and prioritize appropriately
• High standard of accuracy and excellent attention to detail
• Proficiency in Excel required; familiarity with SQL or data analysis tools is a plus

Nice To Haves

• Series 57 preferred, but not required (willingness to take and pass within 90 days of hire)

Responsibilities

• Monitoring surveillance systems daily to detect potential market manipulation, spoofing, wash trading, and other abusive trading practices
• Conducting daily reviews of trading activity, alert escalations, and flagged patterns
• Investigating suspicious trading behavior and preparing detailed investigative reports
• Supporting regulatory examinations and audit requests
• Documenting compliance procedures and maintaining policy and procedure updates
• Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
• Manage the Firm’s outside brokerage account process, including insider trading and anti-money laundering reviews

Benefits

• This role is also eligible for a discretionary performance bonus as part of the total compensation package and includes a comprehensive benefits package that may encompass employer-paid medical, dental, vision, retirement contributions, paid time off, and other benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed