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.

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