Equity Trade Surveillance Compliance

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Job description

Responsibilities

• Drive best practice post-trade surveillance efforts using supervisory tools
• Utilize multiple databases and review ways to enhance surveillance processes
• Partner and coordinate with business supervisors, compliance, and legal personnel regarding these processes
• Work across disciplines to tie surveillance information, information emanating from inquiry and exam response, and other data sources to allow for proactive identification and management of potential compliance issues
• Act as process owner and document requirements for covering all trade workflows in compliance reports
• Collaborate closely with technology team to identify creative solutions and, wherever possible, to enhance automation of surveillance tasks
• Manage the balance of work between longer term goals and immediate production reports, to ensure progress is made on important initiatives and that the team is supported

Qualifications

• 3 to 10+ years Equity Trade Surveillance experience within a brokerage or banking firm.
• Must hold Series 7 and 24 FINRA Licenses.
• Proficiency in Microsoft Excel, VBA, SQL or other data tools are advantageous
• Bachelor Degree.

The Equity Trade Surveillance Compliance role is hybrid remote with offices in downtown Manhattan, New Jersey or Westchester, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is dependent on experience, the initial range is $90-150k base plus discretionary bonus. If your profile matches the above criteria, please apply or email me directly