Regulatory & Compliance Analyst
Posted: 1 days ago
Job Description
Jordan & Jordan is hiring a Regulatory & Compliance Analyst to join our team. We’re seeking a subject matter expert in regulatory compliance with experience across key broker-dealer business areas, including equities, surveillance/testing, market access, regulatory reporting (CAT, TRACE, EBS), trading, and technology.Prior experience in Regulatory Compliance and/or Controls and Testing within a broker-dealer environment is required. The role involves assisting clients with regulatory compliance reviews and reporting assessments.Additional experience across other asset classes - such as options, fixed income, futures, or digital assets is a strong plus.QualificationsRequires 5-7 years of experience in Financial Services, preferably Capital MarketsPrior experience with the regulatory compliance and/or surveillance fields, regulatory inquiries and regulatory examsKnowledge of compliance testing/assessment practices; specific focus on FINRA Rule 3120 reviews, market access reviews and EBS reviewsStrong verbal and written communication skillsAbility to present ideas concisely to various audiencesBachelor's degree required
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