A diversified financial services firm is seeking a Trade Surveillance Officer to join its Compliance function. This role will be responsible for the ongoing development, calibration, and execution of broker-dealer trade surveillance across multiple asset classes.
Key Responsibilities
- Perform daily and periodic review of broker-dealer trade surveillance alerts across equities, fixed income, options, ETFs, and other listed products.
- Design, build, configure, and maintain trade surveillance scenarios, alert logic, thresholds, and rule parameters within the firm's surveillance platform.
- Perform technical coding, tuning, and calibration of surveillance alerts to improve effectiveness while minimizing false positives.
- Partner with Compliance, Technology, Quantitative Analytics, and Front Office teams to implement new surveillance models and enhance existing controls.
- Conduct investigations into potential market abuse, including insider trading, market manipulation, spoofing, layering, wash trading, marking the close, front running, and other prohibited trading activity.
- Analyze large datasets using SQL, Python, or similar tools to identify trends, perform root cause analysis, and validate surveillance effectiveness.
Qualifications
- Bachelor's degree in Finance, Economics, Computer Science, Mathematics, or a related discipline.
- 6+ years of experience in Trade Surveillance within a broker-dealer, investment bank, or diversified financial services firm.
- Demonstrated experience configuring and technically developing surveillance alerts and scenarios.
Trade Surveillance VP in new york at Unknown Company
This position is listed as full time and onsite.