Junior Compliance Analyst

Akuna Capital is an innovative trading firm specializing in options market-making and cutting-edge technology. They are seeking a Junior Compliance Analyst to assist the Compliance team in ensuring regulatory obligations are met, including monitoring trading activities and conducting investigations.

Responsibilities

• Monitor surveillance systems daily to detect potential market manipulation, spoofing, wash trading, and other abusive trading practices
• Conduct daily reviews of trading activity, alert escalations, and flagged patterns
• Investigate suspicious trading behavior and prepare detailed investigative reports
• Support regulatory examinations and audit requests
• Document compliance procedures and maintain policy and procedure updates
• Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
• Manage the Firm’s outside brokerage account process, including insider trading and anti-money laundering reviews

Skills

• 1-3 years of relevant work experience
• Knowledge of trading markets, various asset classes and products
• Ability to apply rule-based analysis to trading activity
• Able to work on multiple projects and assignments at the same time and prioritize appropriately
• High standard of accuracy and excellent attention to detail
• Proficiency in Excel required
• Series 57 preferred, but not required (willingness to take and pass within 90 days of hire)
• Familiarity with SQL or data analysis tools is a plus

Benefits

• Discretionary performance bonus
• Comprehensive benefits package
• Employer-paid medical
• Dental
• Vision
• Retirement contributions
• Paid time off
• Other benefits

Company Overview