Compliance Trade Surveillance Associate-Equities

Key Responsibilities:
- Must be able to work with members of the firm’s regulators, Compliance, Legal and other departments, to identify, analyze, investigate, escalate, and resolve issues
- Review electronic communications for regulatory and/or policy violations
- Analyze, identify, and evaluate risk from multiple sources, including surveillance reports and internal audit reports
- Ability to document results and recommend improvements to compliance and operational procedures
- Research and investigate potential manipulative activity from a queue of flagged alert items
- Ability to conduct critical analyses with a sample of data and make informed, confident decisions of action
- Ability to work independently with minimal supervision


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