Compliance Analyst – CAT Transaction System

Bachelor’s degree required, preferably in a quantitative or analytical field

Experience in an analytical role, preferably in the financial industry

Strong data analysis, investigatory, and problem-solving skills

The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)

Regulatory research and interpretation skills

Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive

Competitive salary, annual performance-based bonus, and stock grant

Retirement plan 401(k) with competitive company match

Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid healthcare premium

Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)

Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks

Corporate events, including team outings, dinners, volunteer activities, and company sports teams

This position is focused on the Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance.

Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered.

1–2 years of experience as a Data Analyst/Data Scientist

Reviewing regulatory data to identify root causes and necessary remediation for errors

Using UNIX command tools to make corrections to records as needed