Lead impactful compliance operations in a dynamic trading environment. Enhance surveillance systems and regulatory reporting processes. Collaborate with cross-functional teams to ensure adherence to industry standards.
Trade Surveillance Associate
in Financial Services PermanentJob Detail
Job Description
Overview
- Support compliance operations for trading desks, ensuring adherence to regulatory requirements and accurate reporting processes.
- Monitor trading activities in real-time and post-trade to detect market manipulation and discrepancies.
- Collaborate with front office, middle office, and IT teams to address compliance matters.
- Conduct regulatory reporting reviews, including TRACE and CAT/CAIS submissions.
- Assist in policy updates and regulatory examinations to ensure compliance standards.
- Perform supervisory reviews of sales and trading desks to maintain compliance integrity.
- Contribute to risk assessments and compliance program evaluations.
- Stay informed on rule changes and effectively communicate updates to relevant teams.
Key Responsibilities & Duties
- Enhance trade surveillance operations and report findings to stakeholders regularly.
- Review monthly FINRA report cards and conduct related research.
- Perform best execution reviews and handle daily trade reporting discrepancies.
- Oversee Treasury auctions and compliance inspections/testing activities.
- Manage compliance programs for primary dealers and CME requirements.
- Assist in policy and procedure reviews and updates for regulatory adherence.
- Support annual risk assessments and supervisory reviews of trading desks.
- Coordinate responses to regulatory inquiries and examinations.
Job Requirements
- Bachelor’s degree in Finance, Business, or a related field required.
- Minimum of 3 years of compliance or surveillance experience; 6 years preferred.
- FINRA Series 7 License for General Representatives is mandatory.
- Proficiency in Bloomberg, NASDAQ SMARTs Surveillance, TRACE, and Microsoft Office tools.
- Strong communication skills for effective interaction with internal and external stakeholders.
- Experience with regulatory reporting tools and compliance program management.
- Ability to stay updated on regulatory changes and implement necessary adjustments.
- Detail-oriented approach to managing trade surveillance and compliance tasks.
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