Trading Compliance Analyst

Loomis Sayles•Boston, MA

1d•$65,000 - $85,000•Hybrid

About The Position

At Loomis Sayles, Trading Compliance is a strategic partner in protecting client assets, preserving market integrity, and enabling responsible innovation. The Trading Compliance Analyst will play a critical role within the compliance department by supporting trade surveillance, regulatory oversight and data-driven initiatives. This role provides exposure to complex trading activity, regulatory frameworks, and emerging technologies, including AI-enabled solutions.

Requirements

Bachelor’s degree
At least 1-3 years of experience in compliance, financial services or related field
Advanced proficiency in Microsoft Excel, including large datasets and lookup functions
Demonstrated interest in automation, technology and AI-driven solutions
Familiarity with automated compliance systems (such as CRD) a plus
Exceptional attention to detail and organizational skills
Ability to manage competing priorities and meet deadlines
Strong analytical and problem-solving capabilities
Effective written and verbal communication skills
Collaborative team player across functions

Responsibilities

Conduct daily reviews of trade surveillance reports, including Fixed Income New Issues, Cancelled and Modified Orders, Dropped Accounts, Regulation M activity, etc.
Identify and escalate potential compliance exceptions in accordance with firm policies
Monitor employee access to public and private deal information via platforms such as FinDox
Respond to broker-dealer inquiries related to QIB and Regulation S certifications
Conduct surveillance of employee communications to ensure compliance with regulatory standards
Support monitoring of expert network interactions for potential information-sharing risks
Compile and analyze data for audits, regulatory examinations, and client reporting
Develop reporting using Excel, and support automation and efficiency enhancements
Partner on AI-driven compliance initiatives and process improvements
Support members of the compliance department on projects
Provide administrative support to members of compliance – scheduling meetings, document formatting support, spreadsheet data entry, electronic document filing, etc.