US Trade Surveillance Associate

Full Time

Broker Dealer Client

Office Status: Hybrid (2-3 days per week in office)

Responsibilities:

  • Evaluate and explore surveillance methodologies used by the Trade Surveillance team to optimize and partner with IT and Advisory teams to maximize the efficiency of current reviews.
  • Conduct testing of model thresholds, parameters and functionality to determine if the risks are being appropriately captured by the model.
  • Review model calibrations to determine the optimal mix of tuning and configuration to mitigate as much risk as possible while minimizing false positives (alert efficiency).
  • Continue developing in-depth knowledge of financial markets and stay informed of regulatory changes and maintain subject matter expertise on surveillance industry trends and technology development.
  • Assist with the implementation of multiple projects, perform surveillance and deliver tasks in a timely manner.
  • Review trading data emanating from multiple front-end trading systems, technology and third party vendor systems and inform relevant compliance and legal folks of any suspicious activity or patterns of unusual trading.
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