Trade Surveillance Associate - Broker/Dealer

    • New York, NY

Kforce's client, a broker/dealer headquartered in New York, NY, is seeking a Trade Surveillance Associate for their Manhattan office. This is a company with tremendous stability and growth, and it has a track record of offering both to their employees over the past 30 years. You will:

  • Monitor assigned products and markets in conducting surveillance of order and trade activities of the firm
  • identify potential violations of Federal Securities Laws, regulatory violations and other positions or activity
  • Conducts routine review and investigations of unusual market activity for evidence of violations of applicable federal securities laws, FINRA

  • Bachelor's degree required
  • Must have Series 7 certificiation or equivalent
  • 3-5 years of relevant experience
  • Experience in a surveillance position within a financial services firm, an exchange, or a regulatory agency a plus
  • Strong PC skills (Microsoft Office with emphasis on PowerPoint and Excel)
  • MS Word, MS Excel and various proprietary Market Regulation systems
  • Strong data analysis skills
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.

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