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Compliance Trade Surveillance
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Full-time
- 3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions
- Experience with Nasdaq Workstation (ACT), Consolidated Audit Trail (CAT), and FINRA TRAQS (ORF & TRACE)
- Must be a self-starter, flexible, innovative, adaptive, and highly motivated with a strong attention to detail.
- Knowledge of QUOD OMS, TradingHub, BTCA and/or Eventus Validus systems a plus.
- Series 7, Series 57, Series 24 and/or Series 4 licenses/registrations a plus
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