- Primary responsibility is to assist in the maintenance of an effective trading compliance program though risk management, monitoring and surveillance of trading and sales activities.
- Work closely with International Trading Group, Cash Equities, Options, and Fixed Income Trade Desks, acting as a resource for education and training as well as conducting daily monitoring.
- Be an active part of the Firm’s anti-money laundering compliance program in conducting trade surveillance and the monitoring for suspicious activity.
- Work with Head of Trading Compliance to maintain current Firm written supervisory procedures and enhance as applicable.
- Respond to real-time inquiries from traders, salespersons, technology personnel and management.
- Ensure that the trade management system is operating effectively and accurately addressing compliance issues.
- Monitoring of trade activity through daily review of trading compliance reports, and periodic forensic testing.
- Experience with Fidessa and Nasdaq Smarts a plus.
- BA or BS degree required
- Strong verbal and written communication skills communications
- Ability to effectively and proactively communicate with persons of any professional level
- Ability to understand, synthesize and communicate urgent information
- Ability and experience in identifying regulatory issues and management reporting
- Ability to multi-task and prioritize
- Series 7, 24 and 57
- Equities Trading Compliance experience required.
- 5 years+ compliance experience
- The ideal candidate will have a background in trade surveillance and/or have a FINRA or SEC background in the trade surveillance or trading exams areas.
- Ability to take initiative and assume responsibility
- Strong work ethic and commitment to Firm and Department