Aastha Schaeffer
Senior Compliance Analyst at Nodal Exchange
- Role
- Senior Compliance Analyst at Nodal Exchange
- Location
- Washington, DC, US
- LinkedIn followers
- 500 followers
Experience
Senior Compliance Analyst
Jul 2024 — Present
Monitor trading activity in exchange-cleared OTC block trades market as well as electronic trading platforms and identify potential violations of Exchange rules.2. Conduct audits to ensure compliance with CFTC regulations.3. Conduct inquiries and investigations to enforce Exchange rules. Prepare and present investigation and surveillance reports to the legal team. Utilize R, python, Excel and other data analytic tools while conducting investigations and auditsAssist with regulatory filings 5. Review and maintain compliance policies and operational procedures.
Education
Brigham Young University
Bachelor of Science (B.S.)
BYU Law School
Doctor of Law - JD
2025
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