Job

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 I.abramowitz@hamlynwilliams.com or (646)-349-4242.  

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