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Trade Surveillance Analyst
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$110,000 a year
Full-time
- Key responsibilities of the job include executing high quality testing in accordance with the test script, documenting and escalating defects, preliminary reporting and analysis of results, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit (FLU) process owners on the identification of themes and trends at the Front Line Unit (FLU), control function and Enterprise level.
- Conducts independent testing on a team in support of coverage needs identified by Compliance and Operational Risk officers and/or Front Line Unit process owners, inclusive of transactional, qualitative, onsite, employee quality review, and surveillance testing
- The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification of themes and trends at the front-line unit, control function and enterprise level.
- Understanding of the Financial Industry, front office or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.
- Front office or middle office experience, or trading related experience
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