Compliance Analyst
The Compliance Analyst at IMC is integral to ensuring the firm's adherence to all applicable laws, regulations, and internal policies governing the trading of U.S. financial products. This role offers significant opportunities for growth and increased responsibilities within the Compliance team.
Key responsibilities include collaborating with the Compliance Team to advance IMC's regulatory vision, promoting a culture of compliance, and monitoring trading activities using the firm's proprietary surveillance systems. The analyst will also provide operational support for external compliance data reporting platforms, investigate regulatory reporting exceptions, and assist in compliance onboarding and offboarding procedures. Additional duties involve responding to audits and regulatory examinations, reviewing employee personal trading activities, and maintaining meticulous documentation of the firm's processes and procedures.
Candidates should possess 1 to 5 years of experience in a related field, such as a proprietary trading firm, exchange, regulatory organization, broker-dealer, or futures commission merchant. A bachelor's degree is required, and obtaining FINRA Series Licenses SIE and 57 within one year of employment is mandatory. Applicants should have a foundational understanding of the financial industry and the U.S. regulatory environment for trading firms. Proficiency in surveillance tools, strong interpersonal and organizational skills, and the ability to communicate complex concepts clearly are essential. Attention to detail, a proactive approach, and the capacity to work both independently and collaboratively are also important.
The base salary for this position ranges from $85,000 to $115,000 USD annually. In addition to the base salary, full-time, permanent employees are eligible for a discretionary bonus and benefits, including paid leave and insurance. For more comprehensive information on benefits, please visit IMC's official website.
IMC is a global trading firm that has been a stabilizing force in financial markets since 1989, providing essential liquidity upon which market participants depend. With offices across the U.S., Europe, Asia Pacific, and India, IMC fosters a collaborative, high-performance culture. The firm is committed to continuous innovation and collaboration, embracing disruptive technologies and diversifying trading strategies to succeed in dynamic markets.