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
Qualifications:
- 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.
Skills Required
- Minimum 3 years of relevant compliance experience
- Hands-on broker-dealer compliance experience
- Knowledge of FINRA communication rules, including Rule 2210
- Knowledge of TRACE, ACT, CAT, TOMS, and Trafix for daily trade review
- Knowledge of equity trading and Regulation NMS
- Knowledge of MCO for employee registration and information updates
- Knowledge of FINRA WebCRD for employee registrations and amendments
- Valid FINRA registration
- College degree in a related field
- Series 7 and Series 24 registrations
What We Do
Seaport Global is a leading capital markets firm providing robust sales, trading and research services, with the resources of a full-service investment bank. We apply an extensive knowledge base and network of long-term relationships to provide financial insight for clients across a variety of industries. With over 300 professionals with decades of experience and offices in the US and Europe, Seaport Global has the capability and acumen to provide our clients sound solutions to help them reach their goals. We provide deep understanding of our clients’ business and full senior attention on every deal.
