The Karn Group

Career Opportunities

Compliance Solutions Specialist

  • Client Services / Compliance / Technical Support
  • Remote / Flexible / Anywhere in USA
  • Salary and bonus negotiable

The Karn Group Inc. (TKG) is a web-based provider of industry-leading compliance and trading technology. We offer a rich suite of equity and fixed income compliance and surveillance products. TKG is a leading provider of Amended NMS Rule 605 technology for firms that will be required to do public reporting. We are the largest provider of fixed income compliance solutions for SEC and FINRA regulated broker/dealers, banks and clearing firms.

We are a software as a service (SaaS) firm providing sophisticated compliance and pricing solutions. Our senior management team averages over 25 years of industry experience in compliance, trading systems, operational resilience, customer support and information technology.

Responsibilities:

  • Compliance & Regulatory Support: Respond to client inquiries related to SEC Amended NMS 605 and 606 regulations and Trade Surveillance, confirming compliance with applicable regulatory requirements. Process regulatory reports for publication, leveraging proprietary web tools, database queries, Excel, and SEC guidelines/FAQs.
  • Client Operations & Resolution: Ensure efficient daily processing of customer data. Troubleshoot, and resolve issues quickly and efficiently. Manage production of monthly and quarterly regulatory reports. Execute database queries and updates to ensure accurate data flow.
  • Web Application Support & Client Training: Support clients with inquiries regarding the functionality of web applications. Troubleshoot and resolve reported issues, escalating to IT when necessary. Provide client training on system use, as needed.
  • Onboarding & Configuration Support: Assist with onboarding new customers, including reviewing data files, creating file specifications for the development team, and ensuring accurate results. Manage customer configuration files to meet client requirements and maintain user login accounts.
  • Testing & Quality Assurance: Conduct testing on product updates, data load changes, interface modifications, and client export configurations to ensure all changes meet quality and functionality standards. Work closely with development team to thoroughly understand analysis and functionary changes.

Qualifications:

  • Financial Services Experience: At least five years financial services experience, with a strong focus on compliance, trading regulations, and client operations support.
  • Regulatory Knowledge: Familiarity with SEC and FINRA regulations. Knowledge of best execution, SEC Rule Amended 605/606(a)/(b)1/(b)3, market manipulation, and related amendments desirable.
  • Order Management System: Knowledge of Order Management Systems (OMS), specifically understanding order and trade file layouts, schemas, and their role in compliance reporting.
  • Technical Skills (Excel, SQL, MongoDB): Experience with various file formats (CSV, JSON, XML) and YAML configuration files is a plus. Experience with SQL queries and MongoDB is preferred. Proficiency with advanced Excel functions such as VLOOKUP, pivot tables, and statistical analysis formulas highly preferred.

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