Investment Management Client
Office Status: Hybrid
Responsibilities
- 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