Trade Desk & Compliance Support Associate
To apply, fill out the application below.
T3 Trading Group, LLC (www.t3trading.com) is a Registered SEC Broker-Dealer & Member of FINRA and SIPC. We strive to be a complete destination for traders looking to maximize their performance in today’s financial markets. Since our inception in 2007, T3 Trading Group has developed and supported thousands of professional licensed and active retail traders throughout the United States. We are dedicated to the long-term success of all our traders and customers. This job is a dual reporting role. Candidate will report to the Chief Compliance Officer and Director of Operations.
- Assist in all aspects of the day to day running of a proprietary and active day trading desk.
- Stay abreast of current regulatory issues and rule changes.
- Support prospective and current traders with all compliance documentation and requirements.
- Edit and maintain compliance paperwork.
- Receive and sort trader and compliance mail.
- Daily email, ads and video review.
- Daily SMARSH and Global Relay review.
- Review and follow up on a variety of trade surveillance alerts/exception reports covering a range of products and various risks.
- Level 1 trade support across multi-asset and multiple front end trading platforms.
- Daily trade break and clearing firm reconciliation.
- Daily corporate action processing.
- Daily commission, ECN and locate fee processing.
- Daily risk and PnL management.
- Communicate with Exchanges, ATSs, and Brokers regarding open orders, executions and general routing behavior.
- Timely and accurately relay information to traders, clients and management.
Technical Skills & Knowledge
- 4+ years’ experience in financial services; specific emphasis in securities business is preferred.
- Knowledge of various regulatory agencies’ rules and regulations, as well as market abuse typologies.
- Experience as a trader, regulator or electronic trade support is a plus.
- Proficiency with market data, trading technology (including software installing, layout setups, securities lending).
- Advanced experience with Microsoft Word, Excel and PowerPoint.
- Series 7, 63 and 24 required
- Series 57 desired
- Bachelor’s Degree
- Experience working for an execution broker-dealer in trade ops & compliance.
- Familiarity with market structure, electronic trading and trading technology.
- Superior attention to detail, with analytical and investigative skills.
- Strong oral and written communication skills.
- High ethical standards, respect for confidentiality and privacy.
- Collaborative personality and open to suggestions from team members.