Trade Desk Surveillance Associate
Posted on: May 6, 2022
PeerSource is currently recruiting for multiple Trade Desk
Surveillance Associates on a Direct Hire basis. This role can be
based in a hybrid capacity from either Alpharetta GA, New York NY,
or Winter Park FL. We are open to junior and senior-level skill
This person will assist with the firm's adherence to regulatory and
trade reporting requirements. Also will be responsible for
detecting activity and/or problematic behaviors that may compromise
regulatory rules or the firm's internal policies and
- Review and resolve daily exceptions relating to trading
activity, trade reporting, and order handling generated by the
firm's order management systems, trade reporting systems,
surveillance systems and clearing firms.
- Effectively communicate with trading desks, operations,
compliance and/or external vendors to resolve exceptions,
escalating issues to management as necessary.
- Low priced securities review and escalations to Anti-Money
- Monitor and communicate regulatory updates and changes that may
affect the firm.
- Regular review of procedures and systems to further automate
daily processes and increase team efficiency.
- Conduct daily CAT (Consolidated Audit Trail) reviews, including
linkage and named events, for analysis, repair, and resubmission in
a timely manner.
- Perform daily Best Execution reviews for trading desks based on
the firm's best execution practices.
- Use research skills for problem solving with ad hoc tasks.
- Assist in training Interns on Trading Desk Surveillance
- Financial industry experience, preferably in the Trading
Surveillance, Trading Desk, Trade Support, Compliance or Risk
Management, is a plus
- Understanding of equities and/or options along with AML
- Series 7 and SIE exams, or willingness to take the exams within
the first 6 months of employment
- Proficient knowledge of Microsoft Office including Excel.
Ability to create ad-hoc reporting using Excel functions
- Solid time management skills, ability to learn quickly and
adapt to changes and be flexible
- Excellent organizational skills, attention to detail and
ability to prioritize and manage multiple tasks
- Bachelor's degree and/or equivalent work experience in the
- Regulatory rule knowledge or experience with Fidessa and
Eventus are a plus
No third parties. H1 sponsorship IS available!PeerSource is a
Denver/Orlando based recruiting solutions firm that truly values
strong relationships with the talented professionals we are
fortunate to serve. We pride ourselves to make it about YOU, and we
will seek to understand exactly what your consideration factors are
regarding the kinds of opportunities you are targeting. We can't
wait to show you our difference and put a smile on your face
through exceeding your expectations well beyond the norm. We offer
contract, contract-to-hire and direct hire opportunities throughout
the US and support W2 as well independent consultants working on a
Corp-to-Corp basis. W2 employee benefits with PeerSource include
options for health & dental insurance as well as a matching
retirement plan. Contact us for more details!
Keywords: PeerSource, Alpharetta , Trade Desk Surveillance Associate, Other , Alpharetta, Georgia
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