MJ Boyd Consulting
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.
In order to make an application, simply read through the following job description and make sure to attach relevant documents.
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
In order to make an application, simply read through the following job description and make sure to attach relevant documents.
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