Seaport Global Holdings LLC

Compliance

• 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

Explore Compliance Analyst – Temporary at Seaport Global Holdings LLC. Review requirements and application details.

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Compliance Analyst – Temporary