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