Compliance Analyst (Temporary)
Seaport Global Holdings LLC seeks a Compliance Analyst to join our team on a temporary basis. The assignment is expected to last approximately 2–3 months and is subject to extension based on business needs.
The ideal candidate is a detail-oriented compliance professional with hands-on broker-dealer experience, a working knowledge of FINRA rules and regulatory reporting systems, and active FINRA registrations. The Compliance Analyst will play an instrumental role in supporting the firm’s daily surveillance and supervisory program, including trade review, research approval, and registration and licensing for our fixed income and equity sales, trading and research businesses.
Seaport Global Holdings LLC seeks a Compliance Analyst to join our team on a temporary basis. The assignment is expected to last approximately 2–3 months and is subject to extension based on business needs.
The ideal candidate is a detail-oriented compliance professional with hands-on broker-dealer experience, a working knowledge of FINRA rules and regulatory reporting systems, and active FINRA registrations. The Compliance Analyst will play an instrumental role in supporting the firm’s daily surveillance and supervisory program, including trade review, research approval, and registration and licensing for our fixed income and equity sales, trading and research businesses.
Seaport Global Holdings LLC seeks a Compliance Analyst to join our team on a temporary basis. The assignment is expected to last approximately 2–3 months and is subject to extension based on business needs. The ideal candidate is a detail-oriented compliance professional with hands-on broker-dealer experience, a working knowledge of FINRA rules and regulatory reporting systems, and active FINRA registrations. The Compliance Analyst will play an instrumental role in supporting the firm’s daily surveillance and supervisory program, including trade review, research approval, and registration and licensing for our fixed income and equity sales, trading and research businesses. Responsibilities:- Conduct daily trade review and surveillance using TRACE, ACT, CAT, TOMS and Trafix, escalating exceptions and documenting follow-up
- Review and approve Desk Notes, Trade Commentary and other communications for compliance with FINRA Rule 2210 and firm policies
- Review Fixed Income Research reports for form and required disclosures prior to publication, in coordination with the Research supervisor
- Process new hire registrations, terminations and amendments to employee information in FINRA WebCRD and MCO, and monitor continuing education and outside activity requirements
- Support regulatory examinations, inquiries and annual compliance processes
- Minimum 3 years of relevant experience in Compliance
- College degree in related area of study preferred
- Knowledge of FINRA communication rules which would allow the review of Desk Notes & Trade Commentary
- Knowledge of FINRA communication rules which would allow the review/approval of Fixed Income Research (for form not research substance, the reports are also reviewed by a Research supervisor)
- Knowledge of TRACE, ACT and CAT as well as TOMS and Trafix to allow for daily trade review
- Knowledge of equity trading and Reg NMS
- Knowledge of MCO to allow for processing new hires and amendments to existing employee’s information in MCO
- Knowledge of FINRA WebCRD system to allow for processing new hires and amendments to existing employee’s information in the FINRA WebCRD
- Valid FINRA registration; Series 7 & 24 would be preferred
Qualified applicants are invited to apply for this position via our Career page.
Seaport Global Securities LLC is a full-service, mid-sized independent investment bank that offers capital markets advisory, sales, trading and research services. Headquartered in New York with offices across the US and in Europe, we pair extensive knowledge and relationships with fixed income sales, trading and research. For more information, visit www.seaportglobal.com.
Seaport Global Holdings LLC is an Equal Employment Opportunity Employer and does not discriminate on the basis of race, color, religion, national origin, sex, gender, gender identity, gender expression, age, sexual orientation, disability (physical or mental), medical condition, marital status, ancestry, protected veteran status, genetics and any other protected group status or non-job related characteristics as directed by law.
Minimum 3 years compliance experience; knowledge of FINRA rules, TRACE, ACT, CAT, TOMS, Trafix, MCO, WebCRD; valid FINRA registration; Series 7 & 24 preferred; college degree preferred.
Key Responsibilities
- conducting trade surveillance
- reviewing communications
- processing registrations
Skills & Tools
TRACE, ACT, CAT, TOMS, Trafix, MCO, WebCRD
Job Details
- Category: Legal and Compliance
- Seniority: Mid Level
- Commitment: Temporary
- Workplace: Remote — United States
- Languages: English
About Seaport Global
A full-service, mid-sized independent investment bank offering capital markets advisory, sales, trading, and research services. — Industry: Finance