Senior Compliance Analyst
Pay$100k – $200k
PostedNov 13, 2026
LevelSenior
In short
We are looking for someone who can operate as a senior compliance partner.
📋 About the job
WHAT WE'RE LOOKING FOR
- We are looking for someone who can operate as a senior compliance partner. A successful candidate should be comfortable moving between regulatory analysis, compliance testing, regulatory examinations, and detailed discussions with engineers and traders.
- The role is well suited to someone who understands that effective compliance in an automated trading
- business requires both strong knowledge of securities regulation and a practical understanding of how trading systems, technology, and operational processes actually work.
- This position will have significant responsibility and the opportunity to help shape the compliance infrastructure of a growing electronic trading firm.
JOB DESCRIPTION
- Advise the firm on SEC, FINRA, exchange, MSRB, and other applicable securities regulations.
- Assist with FINRA, SEC, exchange, and other regulatory examinations, inquiries, and information requests.
- Support the CCO in the day-to-day operation of the firm's compliance program, including regulatory analysis, testing, examinations, policies, WSPs, and regulatory inquiries.
- Translate regulatory requirements into practical controls for automated and algorithmic trading systems.
QUALIFICATIONS
- Significant experience working with or advising a FINRA-registered broker-dealer. Experience with regulatory examinations and interactions with FINRA, SEC, or exchanges strongly preferred.
- Experience with electronic trading, proprietary trading, market making, institutional brokerage, or another technology-driven trading business strongly preferred.
- Familiarity with at least two of equities, fixed income, options, and/or futures markets strongly preferred.
- Series 24 registration is required. Other relevant registrations are a plus.
- J.D. is a plus.
- Must be legally authorized to work in the United States.
COMPENSATION
- The anticipated base salary for this position is $100,000–$200,000 per year. Actual compensation will depend on experience, qualifications, and responsibilities. The position is also eligible for a discretionary performance bonus.
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