Compliance Analyst- EComms Surveillance/Registrations Manager

Compliance Analyst- EComms Surveillance/Registrations ManagerConduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes.Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.Track/monitor pending exams for employees required to be licensed.Ability to navigate FINRA Gateway/Web CRD, NFA ORS, Electronic Filing SystemResponsible for notifying registered representatives of their regulatory element continuing

education requirement. Maintain log of registered representatives’ completion and send reminder notifications to reg. rep., supervisors and compliance officers when approaching deadline. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.Notify all representatives registered as Associated Persons with the National Futures Association of their ethics training

requirements.Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue

requirements.Work closely with the Compliance team to identify registered employees who are required to satisfy Firm Element training

requirements.Regulatory Reporting/Filings:Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due. Work closely with supervisors, business management, Ethics & Compliance, Legal and HR to gather required information/documents for filings with regulators.Coordinate/submit FINRA 4530 filings; /FCM annual CCO reportsdeep technical understanding of Licensing and Registration rulescompliance

experience and strong risk management

skillsbroad knowledge of FINRA, NFA, State and other relevant regulatory bodies

experience with FINRA Form BD and NFA and required

skills for filings and updatesexpertise in FINRA Gateway, FINPRO applicationsthe ability to work well in a team as well as an individual contributorProvide advice/guidance on registrations/licensing

requirements, processes and proceduresTimely process Form U4, U5, Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.Conduct email surveillance and assist with ad hoc tasksManage Compliance Office governance system.

Role

Requirements:Minimum of 3 years of compliance

experience with a broker dealer/financial services firm in a similar role.Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.Excellent execution

skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.Strong organizational and project management

skills and attention to detail.Excellent interpersonal and communication

skills with the ability to interact effectively with front and back office staff and senior management.Team player and ability to work collaboratively across the platform.Ability to understand implications of new regulations and to apply regulations to varying “real world” situations.

Company information:About Lime Trading CorpEstablished in 2000, Lime’s founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy — so they created one.Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms. As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA/SIPC/NFA. For more information, visit https://www.lime.co