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
