Job Details
A broker-dealer client of ours with a global presence is looking for a Surveillance Compliance Officer to join their growing team in Manhattan, New York.
This position is hybrid, with 3-4 days a week onsite and 1-2 days working from home.
Role / Responsibilities:
- Perform electronic communications (e-comm) surveillance reviews of both Trade and Voice communications for both the Broker-Dealer and FCM (Futures Commissions Merchant) lines of business
- Determine and identify alert true-positives or false-positives using technical expertise
- Record and produce metrics on surveillance-reviews
- Interact frequently with clients / traders to seek additional clarifying information
- Test trade data, OMS/EMS systems to ensure high-quality data input into surveillance tools
- Document and record UAT reviews of new scenarios
- Keep abreast of regulatory changes by following relevant news events and regulatory actions
- Ensure all regulatory and company determined parameters are complied with
Asset class experience of derivatives, swaps or fixed income a massive plus.