Job description

About the Role At Loomis Sayles, Trading Compliance is a strategic partner in protecting client assets, preserving market integrity, and enabling responsible innovation. The Trading Compliance Analyst will play a critical role within the compliance department by supporting trade surveillance, regulatory oversight and data-driven initiatives. This role provides exposure to complex trading activity, regulatory frameworks, and emerging technologies, including AI-enabled solutions. Job Responsibilities Conduct daily reviews of trade surveillance reports, including Fixed Income New Issues, Cancelled and Modified Orders, Dropped Accounts, Regulation M activity, etc. Identify and escalate potential compliance exceptions in accordance with firm policies Monitor employee access to public and private deal information via platforms such as FinDox Respond to broker-dealer inquiries related to QIB and Regulation S certifications Conduct surveillance of employee communications to ensure compliance with regulatory standards Support monitoring of expert network interactions for potential information-sharing risks Compile and analyze data for audits, regulatory examinations, and client reporting Develop reporting using Excel, and support automation and efficiency enhancements Partner on AI-driven compliance initiatives and process improvements Support members of the compliance department on projects Provide administrative support to members of compliance – scheduling meetings, document formatting support, spreadsheet data entry, electronic document filing, etc. Qualifications & Education Requirements Bachelor’s degree At least 1-3 years of experience in compliance, financial services or related field Advanced proficiency in Microsoft Excel, including large datasets and lookup functions Demonstrated interest in automation, technology and AI-driven solutions Familiarity with automated compliance systems (such as CRD) a plus Core Competencies Exceptional attention to detail and organizational skills Ability to manage competing priorities and meet deadlines Strong analytical and problem-solving capabilities Effective written and verbal communication skills Collaborative team player across functions Additional Requirements The position follows a hybrid schedule with two days work from home and three days work from office. Loomis Sayles is committed to offering competitive and equitable compensation. The salary range for this position is $65,000 - $85,000 USD. Your starting salary will be based on your experience, skills, qualifications and local benchmarking. This position is also eligible for a discretionary annual incentive award, which is based on individual and company performance. In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.

Requirements

Must-haves

At Loomis Sayles, Trading Compliance is a strategic partner in protecting client assets, preserving market integrity, and enabling responsible innovation.
Conduct daily reviews of trade surveillance reports, including Fixed Income New Issues, Cancelled and Modified Orders, Dropped Accounts, Regulation M activity, etc.
Identify and escalate potential compliance exceptions in accordance with firm policies
Monitor employee access to public and private deal information via platforms such as FinDox
Respond to broker-dealer inquiries related to QIB and Regulation S certifications
Conduct surveillance of employee communications to ensure compliance with regulatory standards
Support monitoring of expert network interactions for potential information-sharing risks
Compile and analyze data for audits, regulatory examinations, and client reporting
Develop reporting using Excel, and support automation and efficiency enhancements
Partner on AI-driven compliance initiatives and process improvements
Support members of the compliance department on projects
Provide administrative support to members of compliance – scheduling meetings, document formatting support, spreadsheet data entry, electronic document filing, etc.
Qualifications & Education Requirements
Bachelor’s degree
At least 1-3 years of experience in compliance, financial services or related field
Advanced proficiency in Microsoft Excel, including large datasets and lookup functions
Demonstrated interest in automation, technology and AI-driven solutions
Core Competencies
Exceptional attention to detail and organizational skills
Ability to manage competing priorities and meet deadlines
Strong analytical and problem-solving capabilities
Effective written and verbal communication skills
Collaborative team player across functions

Nice-to-haves

Familiarity with automated compliance systems (such as CRD) a plus

Application prep

Use the role’s language and application details while tailoring your materials.

Keywords to mirror

Platform: dayforce
Effort: medium