Senior Surveillance Analyst
The candidate that fills the position will be expected to 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 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.
Qualifications & Experience
• Specific knowledge of fixed income, futures and/or equity markets is required;
• At least 5 years experience at an in-house broker-dealer Compliance Department;
• Proficiency in Excel (macros, working with large data sets, graphing) required;
• Series 7 is preferred but not necessary; and
• College Degree is required.
• Must have a strong work ethic and the ability to work well with others;
• Must have good written, verbal and analytical thinking skills;
• Must have an aptitude for technical matters; and
• Must be able to manage multiple tasks simultaneously.