---
title: 'Compliance Analyst (Temporary) at Seaport Global Holdings LLC'
canonical: 'https://feeny.ai/job/compliance-analyst-temporary-seaport-global-holdings-llc-remote-hwc4pghgaez0'
type: 'job'
last_seen: '2026-11-08'
---

# Compliance Analyst (Temporary) at Seaport Global Holdings LLC

- **Company:** Seaport Global Holdings LLC
- **Location:** Remote
- **Employment:** temporary
- **Work type:** remote
- **Posted:** 2026-10-28
- **Last confirmed live:** 2026-11-08
- **Apply:** https://jobs.lever.co/seaportglobal/da07f1a2-f586-414e-9908-5cc21c27e7a2

## Job description

Seaport Global Holdings LLC seeks a Compliance Analyst to join our team on a temporary basis. The assignment is expected to last approximately 2–3 months and is subject to extension based on business needs.

The ideal candidate is a detail-oriented compliance professional with hands-on broker-dealer experience, a working knowledge of FINRA rules and regulatory reporting systems, and active FINRA registrations. The Compliance Analyst will play an instrumental role in supporting the firm’s daily surveillance and supervisory program, including trade review, research approval, and registration and licensing for our fixed income  and equity sales, trading and research businesses.

Responsibilities:

- Conduct daily trade review and surveillance using TRACE, ACT, CAT, TOMS and Trafix, escalating exceptions and documenting follow-up
- Review and approve Desk Notes, Trade Commentary and other communications for compliance with FINRA Rule 2210 and firm policies
- Review Fixed Income Research reports for form and required disclosures prior to publication, in coordination with the Research supervisor
- Process new hire registrations, terminations and amendments to employee information in FINRA WebCRD and MCO, and monitor continuing education and outside activity requirements
- Support regulatory examinations, inquiries and annual compliance processes

Qualifications:

- Minimum 3 years of relevant experience in Compliance
- College degree in related area of study preferred
- Knowledge of FINRA communication rules which would allow the review of Desk Notes & Trade Commentary
- Knowledge of FINRA communication rules which would allow the review/approval of Fixed Income Research (for form not research substance, the reports are also reviewed by a Research supervisor)
- Knowledge of TRACE, ACT and CAT as well as TOMS and Trafix to allow for daily trade review
- Knowledge of equity trading and Reg NMS
- Knowledge of MCO to allow for processing new hires and amendments to existing employee’s information in MCO
- Knowledge of FINRA WebCRD system to allow for processing new hires and amendments to existing employee’s information in the FINRA WebCRD
- Valid FINRA registration; Series 7 & 24 would be preferred

Qualified applicants are invited to apply for this position via our Career page.

Seaport Global Securities LLC is a full-service, mid-sized independent investment bank that offers capital markets advisory, sales, trading and research services. Headquartered in New York with offices across the US and in Europe, we pair extensive knowledge and relationships with fixed income sales, trading and research. For more information, visit www.seaportglobal.com.

Seaport Global Holdings LLC is an Equal Employment Opportunity Employer and does not discriminate on the basis of race, color, religion, national origin, sex, gender, gender identity, gender expression, age, sexual orientation, disability (physical or mental), medical condition, marital status, ancestry, protected veteran status, genetics and any other protected group status or non-job related characteristics as directed by law.

## About Seaport Global Holdings LLC

## Company Overview
- **One-liner**: Seaport Global Holdings LLC is a privately held capital markets firm providing institutional clients with global credit sales, trading, research, and investment banking services.
- **Entity Type**: Privately Held (also has a publicly traded stock symbol SGAMU on NASDAQ, though the operating company is private)
- **Headquarters**: New York, New York, United States
- **Founded**: 2001
- **Founders**: Not publicly available

## Core Business
- **Primary industry/industries**: Investment Banking, Capital Markets, Financial Services
- **Target customers**: Institutional investors, corporations, and issuers (B2B, enterprise)
- **Mission or purpose statement**: “Take on our clients’ biggest challenges by considering every opportunity from their perspective, and develop bold strategies to achieve their goals” — from the company website.

## Products & Services
- **Credit Sales & Trading**: Execution across the investment-grade, high-yield, and distressed credit spectrum.
- **Equity Capital Markets**: Advisory and execution for equity offerings.
- **Investment Banking**: Advisory services including M&A, restructuring, and capital raising.
- **Research**: Equity and credit research across consumer, healthcare, technology, and special situations.
- **Electronic Credit Sales & Trading**: Electronic execution and algorithm-based trading solutions.

## Market Standing
- **Valuation/Market Cap**: Not disclosed (private company)
- **Key Metric**: 201 employees (+5.4% YoY); over 300 professionals according to the company website
- **Notable Investors/Partners**: Privately held; no external investors disclosed. Parent company listed as Redbox Automated Retail, LLC. Key talent sources include Deutsche Bank, Stifel, Citi, Cantor Fitzgerald, Jefferies, Morgan Stanley.
- **Growth Signals**: 5.4% year-over-year headcount growth; active job postings up 100% year-over-year; offices in 5 countries (US, UK, UAE, Singapore, Canada); LinkedIn follower growth of 19.1% yearly.

## Competitive Advantages
- **Independent and privately held**, allowing long-term client focus without quarterly earnings pressure.
- **Strong credit distribution network** providing deep liquidity in specialized secondary markets.
- **Senior-level attention** on every transaction; leadership remains actively engaged day-to-day.
- **Decades of experience** across the credit continuum (investment grade to distressed).

## Strategic Focus
- Expanding electronic and algorithmic trading capabilities (evidenced by new VP, Electronic Credit Sales & Trading role).
- Building out global research platform with recent hires in equity and credit research.
- Deepening presence in Europe and Asia through offices in London, Singapore, and UAE.

## Why Work Here
- **Culture**: Collaborative, performance-driven environment with emphasis on mutual respect, accountability, and professional growth. Leadership is highly involved in day-to-day operations.
- **Work Policy**: Hybrid and in-office roles available depending on position and location. Some roles offer remote flexibility (e.g., Investment Research Associate in France).
- **Perks & Benefits**: 401(K) plan, dental insurance, Flexible Spending Account (FSA), Employee Assistance Program (EAP), adoption assistance.
- **Salary Examples**: Operator ~$57k, Intern ~$80k, Senior Trader ~$201k per year (based on reported ranges).
- **Employer Rating**: 3.7/5 from 36 reviews (Work-Life 3.9, Compensation 3.5, Culture 3.4, Career 3.3).
- **Recent Open Positions** (showing a mix): Analyst/Junior Associate (Credit Sales & Trading), Vice President (Credit Sales & Trading), Full-Stack Engineer, Research Analyst, VP / Sales Specialist (SPACs & Event-Driven).

## Sources
1. [linkedin.com](https://linkedin.com/company/seaport-global)
2. [seaportglobal.com](https://seaportglobal.com/about-us)
3. [seaportglobal.com](https://seaportglobal.com/about-seaport/culture)
4. [builtin.com](https://builtin.com/company/seaport-global-holdings-llc)
5. [jobs.lever.co](https://jobs.lever.co/seaportglobal)

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