Compliance Analyst

Full Time

Madison-Davis Client

Day-to-day, the Compliance Analyst will be responsible for handling the firm’s wall-cross process for follow-on offerings, convertible bonds, and other products. This person will maintain the Restricted List associated with these wall-cross transactions also. In addition, the Compliance Analyst will perform insider trading and market abuse surveillance reviews utilizing trading and electronic communications. Finally, this person will work directly with partners at all levels across the firm and will have the opportunity to get involved in projects.

Ideally you will have experience with working in a control room function handling MNPI and trading compliance, specifically trading surveillance, at a regulatory authority, bank/broker, or buy-side firm. The role requires an investigative mentality with an analytical approach to problem solving. This role requires a keen attention to detail with an ability to identify complex problems and understand options. If you are a sharp, dynamic individual with a strong desire to learn, we would love to hear from you.


  • Handle the wall-cross process for follow-on offerings, convertible bonds, and other products.
  • Maintain Restricted List associated with wall-cross transactions.
  • General trading surveillance reviews, with a focus on potential market manipulation and insider trading
  • Monitor daily surveillance reports using exception reports and other tools
  • Review trade alerts and raise findings as needed
  • Analyze exception report data for trending purposes
  • Other assignments will include assisting with inquiries and exams, review of electronic communications
  • Undertake special compliance related projects as assigned
  • Maintain accurate and organized compliance books and records

Qualifications/Skills Required

  • Bachelor’s degree in Finance, Economics or a related field is preferred, with a strong academic record
  • 3+ years of experience; prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal
  • Experience working within equities and futures markets
  • Candidate must have strong communication, analytical skills and a desire to learn
  • Ability to handle several tasks simultaneously
  • Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options
  • Must be a phenomenal teammate, able to work with others, enthusiasm for trading markets
  • Proficient to advanced computer skills including MS Outlook, Word, Excel and PowerPoint
  • Series 7 or 3 is a plus
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