Responsibilities
The candidate will participate in the monitoring of security transactions for compliance with Exchange rules and be involved in regional and global projects aimed at enhancing the Trade Surveillance program.
RESPONSIBILITIES:
Trade surveillance alerts review:
- Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
- Develop, test and implement new surveillance scenarios and minimum standards;
- Perform quality assurance and reasonability testing of surveillance controls;
- Contribute to the preparation management metrics and reports;
Projects participation:
- Participate in regional and global compliance initiatives and investigations;
- Review and analyze new and/or amended industry rules and regulations;
- Assess new business initiatives and their potential impact to the surveillance program.
SKILLS AND QUALIFICATIONS :
Must Have:
- 1-3 years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services
- General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
- Strong attention to detail
- Ability to work independently
- Ability to prioritize and work in a dynamic, deadline-focused environment
- Exemplary personal ethics and desire to always adhere to rules and regulations
- Ability to work well in a highly diverse team
- Ability to communicate well across all levels of an organization
- Demonstrated history of taking initiative
- Proficiency in Excel, Word and PowerPoint
- Excellent research and analytical skills
- Excellent written and verbal communication skills
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