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Trade Surveillance Officer

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $110,000 - $120,000

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Trade Surveillance Officer

  • Published:

    2 months ago

  • Expiry date:


  • Startdate:


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