Job: Compliance Analyst/Associate
Categories: Legal/Compliance

Position Type: Full Time

Job Location: New York City

Job Description

Casdaq Trading is seeking a Compliance Analyst/Associate with proven experience to help the firm implement and conduct surveillance reviews that cover specific regulations and firm policies. This process includes reviewing exception reports, compiling all relevant data, analyzing the results, escalating potential issues to the appropriate individuals and providing input on potential corrective action plans designed to address issues that are identified.

Primary Responsibilities

• Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations and firm policies
• Conduct surveillance by analyzing surveillance reports over various areas of the firms’ business units
• Assist in the development of policies and procedures that reflect changes in firm business and industry regulation
• Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues
• Responding to and addressing inquiries from regulatory agencies
• Researching and monitoring new and existing legislation to assure firm is in compliance with the applicable laws, regulations and firm policy and procedures


• Must have four year Bachelor’s degree from accredited university
• Great communication and presentation skills
• Accuracy, attention to detail is a must with the ability to thrive in a fast-paced, deadline-driven environment.
• A team player with a “can do” attitude
• Ability to write concise, accurate, business documents
• Highly disciplined individual, self-motivated, delivery focused with the ability to work independently and multi-task
• Strong Microsoft Office skills with proficiency in Excel, Word and PowerPoint.
• Excellent organizational skills.

Preferred Skills and Experiences

• Two years experience in the financial services industry with sound knowledge of financial products
• Series 7 and 63 licensed (must obtain within six months of hiring)


The risk of loss in trading capital market positions can be substantial. You should therefore carefully consider whether such trading is suitable for you in light of your financial condition. In considering whether to trade or to authorize someone else to trade for you, you should be aware of the following:

If you run a capital market position you may sustain a total loss. If you run a capital market position or engage in off-exchange foreign currency trading you may sustain a total loss. If the market moves against your position, you may be called upon by your trader to deposit a substantial amount of additional margin funds, on short notice, in order to maintain your position. If you do not provide the requested funds within the prescribed time, your position may be liquidated at a loss, and you will be liable for any resulting deficit in your account. ​​

​​​The high degree of leverage that is often obtainable in capital markets trading can work against you as well as for you. The use of leverage can lead to large losses as well as gains. ​

This brief statement cannot disclose all the risks and other significant aspects of the capital market trading.

​You should also be aware that this capital markets trading advisor may engage in trading foreign futures or options contracts. Transactions on markets located outside the united states, including markets formally linked to a united states market may be subject to regulations which offer different or diminished protection. Further, united states regulatory authorities may be unable to compel the enforcement of the rules of regulatory authorities or markets in non-united states jurisdictions where your transactions may be effected. Before you trade you should inquire about any rules relevant to your particular contemplated transactions and ask the firm with which you intend to trade for details about the types of redress available in both your local and other relevant jurisdictions.