Trading Compliance Analyst

Jain Global•New York, NY

1d•Onsite

About The Position

Jain Global is seeking a highly motivated and detail-oriented Trading Compliance Analyst to join our Legal & Compliance team. The ideal candidate will play a key role in ensuring that our trading activities are conducted in accordance with regulatory requirements and internal policies. The role demands a strong analytical mindset, keen attention to detail, and excellent communication skills.

Requirements

1-3 years of experience along with a demonstrated record of achievement in academic and professional endeavors.
Strong problem-solving abilities.
Attention to detail and the capacity to manage multiple tasks efficiently.
Excellent written and verbal communication skills.
High level of professionalism and integrity.
Ability to handle confidential information with discretion.

Nice To Haves

Prior experience in paralegal work, accounting, financial operations, compliance, or investment management is beneficial but not required.

Responsibilities

Continuously monitor trading activities and transactions to ensure compliance with regulatory requirements and pre-trade controls.
Identify and report any anomalies or potential compliance breaches.
Ensure adherence to all relevant regulations, including SEC, FINRA, CFTC, and other applicable rules.
Assist in the preparation and submission of regulatory reports and filings.
Review automated compliance monitoring reports to identify positions that approach any internal or regulatory limits.
Regularly review and monitor trading activities to ensure adherence to Rule 105 of Regulation M.
Maintain detailed records of compliance checks related to Rule 105 and assist in preparing reports or documentation required for regulatory reviews or inquiries.
Handle the wall crossing process to ensure compliance with regulatory requirements and internal policies.
Work closely with other departments, such as Trading, Risk, and Operations, to ensure that compliance issues are addressed comprehensively and that defined procedures are being appropriately followed.
Assist with long-term projects to maintain the firm’s high standards of compliance with new and existing regulations.