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About the role
Key responsibilities & impact- Clear trade alerts backed up due to a change in trade surveillance systems
- Conduct daily surveillance to ensure compliance with appropriate rules, regulations, and firm policies
- Perform research and investigations to identify reasons for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Liaise with Information Technology and Senior Management in the development, review, and clearing of surveillance models
Requirements
What you’ll need- Experience in Trade Surveillance
- Knowledge of compliance rules and regulations
- Strong research and investigation skills
- Ability to document findings accurately
- Liaise with IT and Senior Management
Benefits
Comp & perks- medical, dental, and vision coverage to employees and dependents
- a 401(k) plan with a generous employer match
- an employee stock purchase plan
- a generous Paid Time Off policy
- paid parental leave and adoption assistance
- Wellness Program supporting employee total well-being by providing free annual health screenings and coaching, bank at work, and on-site workshops, as well as ongoing programs recognizing major events in the lives of our employees throughout the year
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade surveillancecompliance rulesregulationsresearch skillsinvestigation skillsdocumentation
Soft Skills
communicationliaisonaccuracy