Contribute to regulatory compliance in a dynamic financial services environment. Collaborate across teams to enhance surveillance operations and reporting. Gain exposure to cutting-edge compliance tools and methodologies.
Fixed Income Surveillance Specialist
in Accounting + Finance ContractJob Detail
Job Description
Overview
- Monitor fixed income trading activities to ensure compliance with market regulations and best execution standards.
- Review and analyze trading activity in real-time and T+1 for market manipulation indicators.
- Collaborate with sales, trading, operations, and IT teams to address compliance matters.
- Conduct monthly FINRA report card reviews and research discrepancies.
- Oversee Treasury Auctions and ensure adherence to compliance programs.
- Assist in policy and procedure reviews and updates for regulatory alignment.
- Support regulatory inquiries and examinations with accurate documentation.
- Stay updated on rule changes and communicate effectively with relevant teams.
Key Responsibilities & Duties
- Enhance trade surveillance operations to improve compliance monitoring efficiency.
- Prepare and submit weekly and quarterly surveillance activity reports to stakeholders.
- Perform TRACE reporting reviews and address daily trade reporting discrepancies.
- Conduct best execution reviews in line with FINRA Rule 5310 requirements.
- Manage compliance inspections and testing for regulatory adherence.
- Administer Primary Dealer and CME Compliance Programs effectively.
- Collaborate with internal teams to ensure compliance with updated policies.
- Create visualizations and presentations using Microsoft Excel and PowerPoint.
Job Requirements
- Bachelor’s degree in Finance, Business, or a related field is required.
- Minimum of 3 years of experience in compliance or surveillance roles.
- Proficiency in Bloomberg, TRACE, NASDAQ SMARTs Surveillance, and Microsoft Office tools.
- FINRA Series 7 License is preferred for this position.
- Strong analytical skills to interpret trading data and identify discrepancies.
- Excellent communication skills for effective interaction with internal and external teams.
- Ability to stay updated on regulatory changes and implement necessary adjustments.
- Experience in creating visualizations and presentations for compliance reporting.
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