Control Room Analyst

Full Time

Investment Management Client

Office Status: Hybrid


  • Handle the wall-cross process for follow-on offerings, convertible bonds, and other products.
  • Maintain Restricted List associated with wall-cross transactions.
  • General trading surveillance reviews, with a focus on potential market manipulation and insider trading
  • Monitor daily surveillance reports using exception reports and other tools
  • Review trade alerts and raise findings as needed
  • Analyze exception report data for trending purposes
  • Other assignments will include assisting with inquiries and exams, review of electronic communications
  • Undertake special compliance related projects as assigned
  • Maintain accurate and organized compliance books and records

Qualifications/Skills Required

  • Bachelor’s degree in Finance, Economics or a related field is preferred, with a strong academic record
  • 3+ years of experience; prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal
  • Experience working within equities and futures markets
  • Candidate must have strong communication, analytical skills and a desire to learn
  • Ability to handle several tasks simultaneously
  • Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options
  • Must be a phenomenal teammate, able to work with others, enthusiasm for trading markets
  • Proficient to advanced computer skills including MS Outlook, Word, Excel and PowerPoint
  • Series 7 or 3 is a plus
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