eNGINE is currently looking to hire a direct Jr. Risk/Compliance Analyst that is looking to break into the trading/risk/compliance fields of the financial services industry. Initially, the person will be trained on the trading/risk side of the job and then eventually take on compliance tasks and projects under the supervision/direction of a licensed firm principal.
• Monitoring the firm’s overall daily equity and fixed income trading activity on Order Management System and various Alternative Trading Systems • Monitoring the firm’s fixed income trading credit limits on the various Alternative Trading Systems • Review and approve client requests to increase trading credit limits on Order Management System • Monitoring various regulatory trade reporting systems to ensure both timely and accurate submission of the both equity and fixed income trades • Performing a daily margin buying power calculation for the firm’s proprietary fixed income trading accounts • Updating rules on Compliance and Controls Rules as needed on an advisor trade entry system • Assisting with daily tasks of compliance group and work on compliance projects as assigned • Daily interaction with advisors, traders, vendors and our clearing broker
• Business degree • 1 or 2 years experience in a Broker-Dealer or Registered Investment Adviser setting with exposure to operations, trading and compliance functions • FINRA Securities licenses preferred, or the ability to become licensed • Excellent computer skills • Superb oral and written communication skills
eNGINE is a Placement, Staffing and Solutions firm shaped by decades of interaction with Technical professionals. Our inspiration is continuous learning and engagement with the markets we serve, the talent we represent, and the teams we build. Successful outcomes start and finish with eNGINE.