Trade Surveillance Associate
4 months ago
We're working with a multinational financial services firm who are looking for a Senior Trade Surveillance professional to help support their growing team in New York.
What you'll be doing:
- Conduct daily CAT and OATS reviews, including the 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 counterparties to resolve CAT and OATS reporting issues.
- Weekly review of Finra and Fidessa CAT/OATS reportable lists for symbol set up in Fidessa.
- 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.
- Work with trading desks, operations, and/or external vendors to resolve trade exceptions.
- Review and Compile Best Execution reports for the various desk heads and the Best Execution Committee.
What they're looking for:
- Bachelor’s degree level educated
- 3 years plus of financial industry experience, preferably in the Trading Surveillance, Front Office Trading Desk, Trade Support, Compliance or Risk Management or Trading Desk area.
- Knowledge of Broker-Dealer regulatory rules and processes across a wide range of product types.
For more information get in touch with Thomas Byrne at Hamlyn Williams at email@example.com