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The Compliance Trade Surveillance professional will conduct surveillance reviews related to institutional transactions in Fixed Income, Futures and Equity products, and will also be expected to create and implement new surveillance tools, as needed. The successful candidate will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training of other staff.
Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies;
Review electronic communications;
Design and implement surveillance reports and processes for various trading areas, including the management of said implementation;
Develop policies and procedures that reflect changes in business, regulation, and developing views on issues;
Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues;
Responding to and addressing inquiries from various business units throughout the firm to assure compliance with the applicable laws, regulations and firm policies; and
Research and monitor new and existing legislation.
3+ years Trade Surveillance and FINRA Regulatory Compliance experience, ideally within an International Broker Dealer or Investment Bank;
Specific knowledge of fixed income, futures and/or equity markets is required;
Proficiency in Excel (macros, working with large data sets, graphing) required;
Series 7 is preferred but not necessary;
College Bachelor's Degree is required.
This Compliance Trade Surveillance role is located in downtown Manhattan so please only apply if you are able to travel to this location and have relevant experience for the role. The salary range is $90-120k base plus bonus, dependent on experience. If your profile matches the above criteria please contact me on **email@example.com**