Compliance Analyst (Temporary)

Seaport Global Holdings LLC is seeking a detail-oriented Compliance Analyst to join our team on a temporary basis. This role is essential for supporting our firm’s daily surveillance and supervisory programs across our fixed income and equity sales, trading, and research businesses.

Key responsibilities

• Conduct daily trade review and surveillance using TRACE, ACT, CAT, TOMS, and Trafix, ensuring all exceptions are documented and escalated appropriately.
• Review and approve Desk Notes, Trade Commentary, and other communications to ensure strict adherence to FINRA Rule 2210 and internal firm policies.
• Review Fixed Income Research reports for proper form and required disclosures prior to publication in coordination with the Research supervisor.
• Manage registration processes, including new hire onboarding, terminations, and amendments within FINRA WebCRD and MCO systems.
• Monitor employee continuing education requirements and outside business activity disclosures while supporting regulatory examinations and annual compliance processes.

Requirements

• Minimum of 3 years of relevant experience in a compliance role within the financial services industry.
• Strong working knowledge of FINRA rules, specifically regarding communication standards, trade surveillance, and regulatory reporting.
• Proficiency with industry systems such as TRACE, ACT, CAT, TOMS, Trafix, WebCRD, and MCO.
• Active FINRA registrations are required, with a preference for candidates holding Series 7 and 24 licenses.
• Solid understanding of equity trading practices and Regulation NMS.

What we offer

• The opportunity to work with a full-service, independent investment bank on critical compliance initiatives.
• A fully remote work environment that allows for professional growth and collaboration with experienced industry experts.