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Senior Trade Desk Surveillance Associates

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $110,000- $130,000

  • Contact:

    Ilanna Abramowitz

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    stone X trade desk surveillance

  • Published:

    2 months ago

  • Expiry date:


We are excited to have partnered with a growing financial organization to search for a Senior Trade Desk Surveillance Associate. 

What you will be doing:  

  • Responsible for conducting daily CAT and OATS reviews, including linkage, and named events, for analysis, repair, and resubmission in a timely manner. 

  • Work with various order management systems, CAT and OATS reporting vendors, internal staff, and trading counter parties to resolve CAT and OATS reporting issues. 

  • Gain a deep understanding of the phased rollout of CAT requirements to help the firm ensure compliance. 

  • Weekly review of Finra and Fidessa CAT/OATS reportable lists for symbol set up in Fidessa. 

  • Monthly reconciliation of OATS Report Card with daily TDS OATS spreadsheet. 

  • Review and resolve daily exceptions relating to trading activity, trade reporting, order handling generated by the various Order Management Systems, Trade Reporting Systems, and Clearing firms. 

  • Perform trade surveillance across product types, equity, options, fixed income; investigate potential exceptions and escalate when required. 

  • Perform daily Best Execution Reviews for trading desks based on the firm’s best execution practices. 

What they are looking for:  

  • 3+ years of financial industry experience  

  • Previous work experience working in Trading Surveillance, Front Office Trading Desk, Trade Support, Compliance or Risk Management or Trading Desk  

  • Knowledge of Broker-Dealer regulatory rules and processes across a wide range of product types 

For more information please contact Ilanna Abramowitz at Hamlyn Williams at or (646)-349-4242.