Surveillance AnalystBookmark This
Green Key Resources
Jersey City, NJ
Overview of Role
Analysts are expected to create, implement and conduct surveillance reviews that cover specific regulation or firm policy, primarily as regards issues of market integrity. Analysts are also expected to respond to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) encompassing all of the rules. The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.
* Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies
* Conduct trader surveillance; Analyzing and designing surveillance reports and processes for various trading areas
* Assist in the development of 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 policy and procedures.
* Researching and monitoring new and existing legislation
* Ideal candidate must have an undergraduate degree with experience in capital markets or securities compliance.
* The candidate should have strong regulatory, product and transaction knowledge; and strong written and verbal skills.
* A strong analytical background is a must in addition to a strong technical aptitude.