Our client, an elite electronic trading firm, is seeking a dedicated Surveillance Officer for its growing client services operations.
Key Responsibilities:
- Work closely with the trading, technology, clearing, and finance departments to assist with the implementation of compliance programs.
- Create, review, and monitor surveillance reports
- Create software design requirements to ensure building for compliance.
- Conduct regular audits to ensure compliance with Regulation SHO, Regulation NMS, SEC Books & Records requirements, and other areas requiring compliance oversight.
- Assist in the creation and revision of policies and procedures for our client’s compliance program and its related activities to prevent illegal, unethical, or improper conduct.
- Ability to build code and scripts for database queries.
- Assist in interpretation and implementation of SEC & FINRA and other relevant regulations.
- Assist in developing, drafting and implementing policies and procedures.
- Revise, prepare, and disseminate new and updated compliance standards and procedures.
- Assist in conducting compliance monitoring.
Key Skills:
- Knowledge of SEC and SRO Rules and Regulations
- Strong knowledge of trading/financial industry
- Ability to conduct statistical analysis
- Strong knowledge of SQL, preferably Microsoft SQL server
- Strong knowledge of C++/C#/Python languages
- Understanding of web based reporting, preferably ASP.NET
- Strong working knowledge of Microsoft Office
- Technology savvy
- WebCRD, a plus
- Knowledge of Bloomberg, Reuters products, a plus
Job Requirements:
- Five years or more of experience preferred
- NASD Series 7, 24, and 55 licenses desired
- Prior experience working with an Institutional Brokerage or ATS a plus
- Experience utilizing Compliance disciplines in a high tech environment
Location: New York, NY
Salary: Competitive
Contact: Kendal Ridgeway
Our client is looking for an individual to write custom Risk management focused extension to their core product to support their clients and sales teams. Development will be done in both Java and .Net (C#), primarily using their own object oriented toolkits
RESPONSIBILITIES:
Develop, test, and maintain existing programs
Adhere to established coding guidelines
Develop technical specifications and assist QA of extensions developed by others
Write technical and end-user documentation
REQUIREMENTS:
A Bachelor’s degree in computer science, or another technical area
2+ years experience in Java or .Net (C#)
Experience in SQL and understanding of RDBMS (Oracle, MSSQL)
Good written and verbal communication skills
Experience with financial Risk management principles is a plus
Experience supporting financial or energy trading and/or trading operations is a plus
Experience using Our client’s financial AVS or OpenJVS development is a plus
Little travel is required
Location: Long Island, NY
Salary: Competitive
Contact: Kendal Ridgeway
