Compliance Assistant

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.

As a result of this tremendous growth, Thesys CAT is looking for an Administrative Assistant to join a fast paced and seasoned team in an effort to support our internal organizational Compliance objectives.  This is an excellent opportunity for someone who wishes to expand their Administrative role and grow into a Compliance Analyst over the next 1-3 years.

Specific responsibilities will include:

  • Managing the onboarding/offboarding process
  • Reviewing Trading Statements
  • Preparing reports and collecting data
  • Updating spreadsheets
  • Following up with employees and internal/external stakeholders
  • Coordination of compliance related activities (training, policies, etc,)
  • Assist with creating training materials
  • Filing and retaining documentation records retention requirements

Candidate Qualifications:
Our ideal candidate will have a Bachelor’s degree and 3-5 years experience in an Administrative capacity preferably with some exposure to compliance processes and procedures.  

Additionally, this person will have excellent organizational, writing and interpersonal skills, and is comfortable working in a fast paced and deadline driven environment. This candidate will also have a comfortable working knowledge of both Microsoft and G-Suite products, and a genuine interest in learning more about the Compliance function.


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