Control Room Surveillance Officer (closed)
Control Room Surveillance Officer.
Top-tier investment bank seeks Associate/AVP analyst to work in our Employee Trading/Registration Department. Analyst expected to monitor, investigate, review and approve Personal Employee Trading Accounts and Trade Requests. In addition, the analyst will be required to perform surveillance of Employee accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies.
- Conduct daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Watch & Restricted Lists, Front-running and Insider Trading policies.
- Perform research and investigations to identify the reason for potential violations.
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.
- Preferably have prior experience in approving personal trade requests, outside business affiliation requests and private investments requests.
- Monitor changes in securities regulations and industry technology to design and implement various policies and procedures.
- Conduct ad-hoc Surveillance, Employee Trading and Registration Projects.
- Effectively communicate project expectations to team members and stakeholders in a timely and clear fashion.
- Knowledge of Registration Requirements (U4 process, U5, CRD), preferred.
- Manage multiple, deadline-oriented tasks in a fast-pace environment.
- The successful candidate will have 3-4 years of experience in a Compliance, Employee Trading Group.. Use of Actimize a plus.
- Control Room / Employee Trading experience necessary.
- Strong communicator, comfortable in presenting and explaining analysis.
- Must be detailed oriented, interest in the markets, current events, and financial news.
- Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives).
- Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation).
- Team player with great attitude and work ethic and a strong attention to details.
- Ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
- Series 7 a plus