Trade Surveillance Associate

Overview

• Join a compliance team dedicated to ensuring adherence to equities market regulations.
• Analyze surveillance reports and investigate potential rule or law violations.
• Collaborate with IT and business units to enhance surveillance processes.
• Work in a hybrid environment with opportunities for professional growth.
• Contribute to regulatory controls and compliance initiatives.
• Develop expertise in equities trading and surveillance procedures.
• Engage with senior management to address compliance findings.
• Present compliance topics to trading staff during regular meetings.

Key Responsibilities & Duties

• Review trading reports to ensure compliance with equities market regulations.
• Monitor trading behavior independently to identify inappropriate activities.
• Conduct detailed analysis and research on trading activities.
• Document monitoring activities and investigative steps comprehensively.
• Refer findings to senior management for regulatory considerations.
• Collaborate with IT to improve surveillance reporting systems.
• Support management in implementing enhanced regulatory controls.
• Deliver presentations on compliance topics to trading staff.

Job Requirements

• Bachelor of Science degree in a relevant field.
• Two years of experience in regulatory or compliance settings.
• Knowledge of equities trading and associated regulations.
• Legal training or direct regulatory experience preferred.
• Experience with options trading is advantageous.
• Strong analytical, communication, and presentation skills.
• Attention to detail and effective time management abilities.
• Curiosity and a desire to excel in compliance roles.