Compliance Analyst – Temporary

Seaport Global Holdings LLC

. Conduct daily trade review and surveillance using TRACE, ACT, CAT, TOMS and Trafix .

Posted 10/28/2026contractRemote • United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance processes, regulatory reporting, and trade surveillance within the financial services industry, with a strong focus on FINRA rules and broker-dealer operations.

Highest-signal resume keywords

Compliance ExperienceFINRA Rules KnowledgeTrade SurveillanceBroker-Dealer ExperienceActive FINRA Registrations

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Trade ReviewRegulatory ReportingDesk Notes ReviewFixed Income Research ReviewEmployee Information Processing

Tools & Technologies

TRACEACTCATTOMSTrafixFINRA WebCRDMCO

Certifications & Qualifications

Series 7Series 24

Industry Keywords

FINRA Rule 2210Reg NMSCompliance ProcessesEquity TradingContinuing Education Monitoring

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

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