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Industry Leading Electronic Broker-Dealer & Electronic Trading Platform/Firm
Overview of Role
Position will include responsibility for monitoring daily surveillance reports and alerts related to institutional transactions in fixed income products, creation of new surveillance reports as needed, and handling of special projects and reviews. Other assignments will include assisting with regulatory inquiries and exams and review of electronic communications. Position will report to the Head of Business Surveillance.
Primarily responsible for surveillance of transactions and related activity
Conduct T+1 surveillance using exception reports and other tools
Review trade alerts and escalate any findings as needed
Analyze exception report data for trending purposes
Prepare weekly reports with findings and present to Business Surveillance and Compliance teams in weekly meetings
Review of electronic communications
Specific knowledge of fixed income, over-the-counter markets is required
Experience at either in-house Compliance Department or similar regulatory experience (e.g. FINRA), or experience within a Business Surveillance role - minimum 5 years.
Proficiency in Excel (macros, working with large data sets, graphing)
Series 7 is preferred but not necessary
BA or BS Degree from a College or University is required
Must be able to manage multiple tasks simultaneously
Must be team player, able to work well with others
Candidate must have strong communication and analytical skills and a desire to learn