Compliance Analyst

We are seeking a Compliance Analyst to join our Legal & Compliance team, supporting daily operations and various projects. This role involves maintaining documentation, controls, and processes for surveillance workflows, and acting as a primary liaison for internal colleagues. Responsibilities include managing market maker, restricted, and sanctions lists, performing information barrier checks, and assisting with securities class action claims.

Must Have

• Support day-to-day operations of the Legal & Compliance team.
• Maintain documentation, controls, and processes for surveillance workflows.
• Act as a key liaison between the team and the firm.
• Maintain and update market maker lists.
• Update restricted and sanctions lists.
• Perform information barrier checks.
• Disclose new accounts to exchanges and track submissions.
• Review options market maker report cards.
• Gather and organize information for securities class action claims.
• 1-3 years of experience in a legal & compliance environment.
• Excellent attention to detail, organization, and follow-through.
• Demonstrate discretion, trustworthiness, and good judgment.
• Clear, concise communication skills.
• Reliable and flexible team player.
• Ability to work independently and drive tasks to completion.

About the Position

We are looking for a Compliance Analyst to support the day-to-day operations of our Legal & Compliance team and drive a variety of projects. In this role, you’ll work alongside seasoned colleagues to maintain the documentation, controls, and processes that keep our surveillance workflows running smoothly. You’ll also serve as a key liaison between our team and the rest of the firm, often acting as a first point of contact for traders, technologists, and other colleagues.

Additional responsibilities of the role will include:

• Maintain and update market maker lists, including registrations and ongoing changes
• Update restricted and sanctions lists, ensuring accuracy and timely distribution
• Perform information barrier checks, verifying that client order permissions are set appropriately for traders
• Disclose new accounts to exchanges and track submissions through completion
• Review options market maker report cards from exchanges, summarize findings, and help follow up on any required actions
• Gather and organize information needed for securities class action claims

About You

• 1-3 years of experience in a legal & compliance environment; no specific regulatory or policy exposure required
• Proactive self-starter with excellent attention to detail, organization, and follow-through
• Discrete and trustworthy; able to use good judgment to make real-time decisions
• Clear, concise communicator with colleagues and external partners
• Comfortable asking questions, surfacing issues early, and owning mistakes
• Reliable and flexible team player with a positive attitude and learns quickly from feedback
• Able to work independently, escalate when necessary and proactively drive tasks and projects to completion

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