Compliance Analyst

Thesys CAT, a subsidiary of Thesys Technologies, has been chosen by the U.S. Securities and Exchange Commission to build and operate one of the largest trading databases ever created; Consolidated Audit Trail (CAT).

The CAT is a comprehensive audit trail that will track orders throughout their lifecycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently and accurately track activity in Eligible Securities throughout the U.S. markets. When complete, the CAT will be the world’s largest data repository for securities transactions tracking approximately 58 billion records of orders, executions, and quote life-cycles for equities and options markets on a daily basis.

Given the breadth of our ambitions, the technology work we provide is highly diversified, cutting-edge, challenging, and extremely broad in terms of the exposure it generates for employees. In other words, there is a lot that you get to see and do, depending on how much you can handle. We need players on our team who can adapt to a very rapidly changing environment, take on outsized roles and responsibilities, maintain strong interpersonal relationships, and help build our vision out further. 

Qualifications:

  • Bachelor’s degree
  • Experience /knowledge of financial markets preferred
  • Experience/familiarity with compliance/controls program preferred
  • Excellent writing skills
  • Excellent organizational skills
  • Familiarity /skills with Microsoft Office (Word, PDF, Excel, Powerpoint) required
  • Additional skills/familiarity with software for creation of forms, presentations and flow diagrams preferred

Job Description/Duties:
  • Manage and track the on-boarding process
  • Assist with creating training materials
  • Filing and retaining documentation records retention requirements
  • Prepare reports by collecting and summarizing information
  • Assist with managing the employee brokerage account review process
  • Draft and oversee regular communications with staff such as policy notices, annual reminders and announcements
  • Assist with monitoring and testing of policies and procedures
  • Assist with external audit (coordination, collection of information)
  • Assist with coordinating/scheduling reminders for recurring tasks
  • Researching tools and products to enhance the compliance process

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