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Trade Desk Surveillance Associate

Company: PeerSource
Location: Alpharetta
Posted on: May 6, 2022

Job Description:

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 sets.
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 procedures.

  • 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 Laundering team.
  • 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 tasks.
    Required Skills
    • 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 (anti-money laundering)
    • 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 financial industry
    • 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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