Trading & Surveillance Compliance Specialist

Overview

• Support front office sales and trading desks for fixed income, equity, and futures products.
• Monitor trading activity in real-time and T+1 to ensure compliance with market regulations.
• Collaborate with front office, middle office, and IT teams on compliance matters.
• Review and improve trade surveillance operations and reporting processes.
• Stay updated on regulatory changes and communicate updates effectively.
• Assist in policy and procedure reviews and regulatory inquiries.
• Participate in compliance inspections and testing programs.
• Contribute to annual risk assessments and compliance program oversight.

Key Responsibilities & Duties

• Conduct weekly and quarterly surveillance activity reporting for stakeholders.
• Perform monthly FINRA report card reviews and research discrepancies.
• Ensure accurate TRACE reporting and handle daily trade reporting discrepancies.
• Perform best execution reviews and regulatory reporting tasks.
• Oversee Treasury Auctions and compliance inspections/testing programs.
• Assist in supervisory reviews of front office sales and trading desks.
• Collaborate on policy updates and regulatory examination responses.
• Utilize tools like Bloomberg, NASDAQ SMARTs, and Microsoft Excel for compliance tasks.

Job Requirements

• Bachelor’s degree in Finance, Business, or a related field.
• Minimum of 5 years of experience in compliance or surveillance roles.
• Proficiency in Bloomberg, NASDAQ SMARTs, TRACE, and Microsoft Office tools.
• Strong communication skills for effective interaction with internal teams and stakeholders.
• FINRA Series 7 License for General Representatives is required.
• Knowledge of regulatory reporting requirements and compliance programs.
• Ability to stay updated on rule changes and implement necessary adjustments.
• Experience in policy review and risk assessment processes.