Compliance Analyst – Temporary

Job not on LinkedIn

🔥 1 minute ago

🇺🇸 United States – Remote

⏳ Contract/Temporary

🟡 Mid-level

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 12%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Seaport Global Holdings LLC

WebsiteLinkedInAll Job Openings

201 - 500 employees

🏦 Banking

💸 Finance

Banking • Finance

Seaport Global Holdings LLC is a leading capital markets firm that provides robust sales, trading, and research services, functioning as a full-service investment bank. With a strong foundation built on an extensive network and deep knowledge across various industries, the firm aims to deliver insightful financial solutions to its clients. With a team of over 300 seasoned professionals and offices in the US and Europe, Seaport Global focuses on understanding its clients' businesses and ensuring senior-level attention on every deal.

📋 Description

• Conduct daily trade review and surveillance using TRACE, ACT, CAT, TOMS and Trafix • Escalate exceptions and document 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 before publication, coordinating with the Research supervisor • Process new hire registrations, terminations and employee information amendments in FINRA WebCRD and MCO • Monitor continuing education and outside activity requirements • Support regulatory examinations, inquiries and annual compliance processes • Support the firm’s daily surveillance and supervisory program for fixed income and equity sales, trading and research businesses

🎯 Requirements

• Minimum 3 years of relevant experience in Compliance • College degree in related area of study preferred • Hands-on broker-dealer experience • Working knowledge of FINRA rules and regulatory reporting systems • Active FINRA registrations • Knowledge of FINRA communication rules for reviewing Desk Notes and Trade Commentary • Knowledge of FINRA communication rules for reviewing and approving Fixed Income Research for form and required disclosures • Knowledge of TRACE, ACT, CAT, TOMS and Trafix for daily trade review • Knowledge of equity trading and Reg NMS • Knowledge of MCO for processing new hires and amendments to employee information • Knowledge of FINRA WebCRD for processing new hires and amendments to employee information • Valid FINRA registration • Series 7 and Series 24 preferred

🏖️ Benefits

• Temporary assignment expected to last approximately 2–3 months, subject to extension based on business needs • Flexible location/work arrangement