Job Description

Job Description

Our client is an International Bank in Downtown Manhattan. They are looking for a Compliance Trade Surveillance Specialist to join their team on a long-term contract basis. There may be potential for this role to become a permanent role. This role requires 5 days per week in the office.

• Identify risks
• Conduct reviews of transaction
• Develop and enhance control environment relating to equity and fixed income trading
• Provide transactional advice to Sales and Trading including review of sanction trades done away from Market Hub
• Assist in the market reconstruction in response to regulatory inquiries
• Stay abreast of new rules and regulatory initiatives
• Assist in the development and enhancement of tools and systems used to conduct trade surveillance and trend analysis
• Surveillance of Electronic Communications through Firm approved vendor – BBV
• Surveillance of Text Messages - SMARSH
• Surveillance of Voice recordings – Surveil-X
• Perform Best Execution Surveillance
• Policy and procedure writing including WSP management of Front Office
• Maintenance of Compliance Intranet Pages including Procedures, Forms and Firm Corporate Documents
• Participate in ongoing global projects relating to control processes within surveillance and application implementation
• Partner with HO colleagues to ensure surveillance scenarios are correctly capturing potential market manipulation incidents as defined by US Regulatory requirements
• Provide internal support for Chief Compliance Officer
• Back Up CCO on Various Tasks such as the following:
• Head Office Reporting
• Track data for Internal Audit requests
• Weekly Trace Reporting
• Review Treasury transactions
• Late trades
• Non Trace transactions
• Blotter Review
• TRAGS Review
• Daily Fixed Income Wash Reports
• Daily Fixed Income Unmatched Reports
• Buy Back Review
• Quarterly Sample alarm review with HO
• Clock Sync Review

Qualifications and/or Special Requirements

• Minimum 4 years’ experience in broker-dealer compliance
• Solid analytical and computer skills and must possess a broad based knowledge of financial products.
• Strong oral and written verbal skills.
• Preferred licenses, Series 7, 24, but not mandatory

Education

• Bachelor's Degree from an Accredited Educational Institution; post graduate degree a plus

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