Trade Surveillance Specialist Job at MJ Boyd Consulting, New York, NY

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  • MJ Boyd Consulting
  • New York, NY

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

Job Tags

Permanent employment, Contract work, Long term contract, Work at office,

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