Senior Trading Compliance Analyst

Company: Mohr Talent
Location: Austin
Posted on: May 2, 2025

Job Description:

Senior Trading Compliance Analyst

Austin, TX - Hybrid (4 days in office)

$80 - $90K base + 10% bonus + full benefits

A leading and fast-paced financial services firm is looking for a Senior Trading Compliance Analyst to support trading operations and lead regulatory oversight. This role blends trading support, advisor interaction, and regulatory compliance-ideal for someone who thrives at the intersection of operations and risk.

What You'll Do:

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  Oversee regulatory reporting and respond to FINRA audits (CAT, TRACE, MSRB, best execution).
  
  
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  Support trading operations and help resolve advisor-related trading issues.
  
  
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  Work closely with compliance and legal teams to ensure internal policies meet all regulatory requirements.
  
  
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  Review and approve option accounts, monitor daily trading activity, and handle escalations.
  
  
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  Help maintain and improve controls and procedures related to trading compliance.
  
  
  
  What We're Looking For:
  
  
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    5+ years in trading operations, broker-dealer compliance, or middle/back office roles.
    
    
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    Active Series 7, 63 (or 66), and 24 required.
    
    
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    Must be willing to obtain Series 4 and 53 within the first year.
    
    
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    Strong understanding of FINRA compliance rules is essential.
    
    
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    Experience with CAT, MSRB, TRACE, and best execution reviews.
    
    
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    Comfortable interacting with financial advisors and internal stakeholders.
    
    
    
    Bonus Points:
    
    
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      Familiarity with Salesforce, NFS (National Financial Services), or Laserfiche.
      
      
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      Strong Excel and reporting skills.
      
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      MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

Keywords: Mohr Talent, Round Rock , Senior Trading Compliance Analyst, Professions , Austin, Texas