Trade Surveillance Technical Analyst Jobs

Required Qualifications, Capabilities, and Skills

Preferred Qualifications, Capabilities, and Skills

Bachelor’s degree or equivalent experience;

Relevant regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation;

Relevant knowledge of securities products and trading, particularly equities and equity derivative products;

Knowledge of industry rules, regulations, and market structure;

Knowledge of Quality Management tools and techniques beneficial

A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days

Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

Educational resources, matching gift, and volunteer programs

Relevant experience in owning end-to-end product delivery in Financial Services

Broad knowledge of related business solutions in the marketplace

Interpret and investigate substantive findings for context and potential impact under the direction of management.

Escalate matters of concern to the appropriate supervisory personnel and work with management to resolve issues.

Track metrics and design management reports that evidence trends.

Processing monthly account review data for distribution to Supervisory Risk Managers

Excellent written and verbal communication skills

Strong Microsoft Office Suite skills

· Maintain up-to-date knowledge of exchange trading rules;

· Comment and investigate cross check

· Review Risk database checking for missing mapping products and clients

· Monitor free equity at exchanges in US hours

· Review portfolio of new clients

· Review BR, understanding how risk metrics work

3+ years of market surveillance experience – ideally within commodities

Prior experience with trade or communication surveillance

Building out processes and implementing new systems

Interacting with traders and working cross-functionally across the entire group

Excellent project management and organizational skills and capability to handle multiple projects at one time

Maintain consultant tracking and assess Public/Private access requirements.

Knowledge of Compliance laws, rules, regulations and risks

A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects

Excellent research and analytical skills

Excellent written and verbal communication skills

Report all findings to team leader and manager.

Perform any other assignments as directed by manager.

5-7 years of experience in banking and BSA/AML compliance.

Prepare Suspicious Activity Reports (SAR) when suspicious activity is detected.

Review due diligence reports to understand customer risk on a holistic basis.

Prepare and file reports with OFAC as required.

Strong data analysis, technology and project management skills

Minimum 10 years of compliance experience in the financial services industry or an SRO.

Knowledge of broker-dealer regulatory compliance including FINRA, SEC, CFTC, and Exchange specific regulation

Identify gaps in surveillance coverage models and reports

Design and enhance applicable surveillance reviews

Assist technology with the design and implementation of new reviews

Equivalent combination of education and experience.

3-5+ years of related experience and/or training

Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.

Strong computer skills including Microsoft Office (Excel, Word, Outlook) are a must as well as strong multi-tasking skills.

Houston: 11740 Katy Freeway, Energy Tower 111, Ste 600, Houston, TX 77079

San Diego: 10150 Meanley Drive, San Diego, CA 92131